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ASME A17.7-2007/CSA B44.7-07 



Performance-based safety code 
for elevators and escalators 




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The American Society of 
Mechanical Engineers 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
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ASME A17.7-2007/CSA B44.7-07 
March 2007 



Title: Performance-based safety code for elevators and escalators 

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ASME/CSA Standard 



ASMEA1 7, 7-2007 

CSA B44.7-07 

Performance-based safety code for elevators 

and escalators 




The American Society of 
Mechanical Engineers 



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CANADIAN STANDARDS 
ASSOCIATION 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
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© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Contents 



ASME A1 7 Elevator and Escalator Committee v 

CSA B44 Technical Committee on the Elevator Safety Code vii 

ASME A1 7.7/CSA B44.7 Committee on New Technology x 

Foreword x/7 

ASME Preface xiii 

CSA Preface xv 

Form and arrangement xvi 

1 GENERAL 7 

1.1 SCOPE 7 

1.2 PURPOSE 2 

1.3 DEFINITIONS 2 

2 SAFETY REQUIREMENTS 5 

2.1 PROCESSES FOR ESTABLISHING SAFETY 5 

2.2 OPTIONS FOR ESTABLISHING SAFETY 6 

2.3 SAFETY ASSESSMENT SUBJECT 6 

2.4 ASSURING SAFETY BY IMPLEMENTING GESRs 7 

2.5 SORTING OF APPLICABLE GESRs FOR APPROACH 1 8 

2.6 IMPLEMENTATION OF GESRs 9 

2.7 RISK ASSESSMENT PROCESS 9 

2.8 PROTECTIVE MEASURES AND SAFETY PRINCIPLES 7 7 

2.9 APPLICATION OF SPs U 

2.1 CODE COMPLIANCE DOCUMENTATION 7 3 

2.11 CODE DATA PLATE 73 

2.12 ADDITIONAL REQUIREMENTS 13 

3 GLOBAL ESSENTIAL SAFETY REQUIREMENTS (GESRs) FOR ELEVATORS 75 

3.1 COMMON GESRs RELATED TO PERSONS AT DIFFERENT LOCATIONS 75 

3.2 GESRs RELATED TO PERSONS ADJACENT TO THE ELEVATOR — FALLING INTO HOISTWAY 77 

3.3 GESRs RELATED TO PERSONS AT THE ELEVATOR ENTRANCE 18 

3.4 GESRs RELATED TO PERSONS IN THE LCU (CAR) 19 

3.5 GESRs RELATED TO PERSONS IN WORKING AREAS 21 

4 SAFETY PARAMETERS 23 

5 REFERENCE CODES AND STANDARDS 25 

5.1 REFERENCE DOCUMENTS 25 

5.2 PROCUREMENT INFORMATION 29 

MANDATORY APPENDIX I — CERTIFICATION OF CONFORMANCE OF ELEVATOR SYSTEMS, 
SUB-SYSTEMS, COMPONENTS, OR FUNCTIONS 3 1 



March 2007 



• •• 
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Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



ASMEA17.7-2007/CSA 844 J -07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



NONMANDATORY APPENDICES 

A — BACKGROUND TO CESRs 35 

B — SAFETY PARAMETERS 53 

C — RISK ASSESSMENT METHODOLOGIES 

D-~ QUICK REFERENCES 83 

E — EXAMPLE OF USE OF THIS CODE 87 

F — ASME A1 7.7/CSA B44.7 Process 1 14 



78 



Tables 

A-i — Examples of risk scenarios related to GESRs 36 

A- 3 — Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 42 

A-4 — Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 48 

B-1 — SPs for Each GESR 54 

B-2 — Summary of Anthropometric Data 76 

C-l — Risk Assessment Template 79 

C-2.1 — Levels of Severity 80 

C-2.2 — Levels of Probabilities 80 

C-3.1 — Risk Estimation and Evaluation 81 

C-3.2 — Risk Evaluation 8 1 

C-4 — Guide for Team Moderator — Role, Skills, Duties, and Responsibilities 82 

D-1 — Examples of Hazards 83 

D-2 — Examples of Hazardous Situations 84 

D-3 — Examples of Causes (Component of Harmful Event) 85 

D-4 — Examples of Possible Effects 86 

E-23 — List of GESRs to be Verified for Conformance 89 

E-2.4 — Risk Assessment per Nonmandatory Appendix C 96 



Figures 



109 



E-i — Determination of the Subject of the Assessment 

E-2a — Elaboration of the Design Concept 1 10 

E-2b — View of Ground Guard and Raised LCU 1 1 1 

E-3 — Elaboration of Design Concept LCU - Landing Bridge 

E-4 — Elaboration of the Design Concept 1 13 

F-1 — ASME A1 7.7/CSA B44.7 Process 1 14 



112 



IV 



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March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

ASME A17 Elevator and Escalator 
Committee 



J. W. Coaker, Chair 

H. E. Peelle III, Vice Chair 

N. B. Martin, Vice Chair 

G. A. Burdeshaw, Secretary 

E. V. Baker, NEIEP 

R. E. Baxter, Richard E. Baxter and Associates, LLC 

L. Bialy, Otis Elevator Co. 

N. Marchitto, Alternate, Otis Elevator Co. 

J. R. Brooks, North Carolina Department of Labor 

W. C. Burklund, Kone, inc. 

J. W. Coaker, Coaker & Co., PC 

E. A. Donoghue, Edward A. Donoghue Associates, Inc. 

R. E. Droste, Consultant 

J. A. Filippone, Port Authority of New York and New Jersey 

J. H. Humphrey, Alternate, Port Authority of New York and New Jersey 

C. C. Fox, Rainbow Security Control Ltd. 

G. W. Gibson, George W. Gibson and Associates, Inc. 

R. A. Gregory, Vertex Corp. 

A. P. Juhasz, Kone, Inc. 

L. C. Kanicki, Elevator Subcode Official Township of Burlington N] 

G. A. Kappenhagen, Schindler Elevator Corp. 

J. W. Koshak, Thyssen Krupp Elevator Co. 

H. Simpkins, Alternate, Thyssen Krupp Elevator Co. 

K. S. Lloyd, Abell Elevator International 

S. K. Lloyd, Alternate, Abell Elevator International 

N. B. Martin, Chief Elevator Insp. State of Ohio 

Z. R. McCain, Jr., McCain Engineering Associates, Inc. 

M. V. Farinola, Alternate, MV Farinola, Inc. 

D. A. McColl, Otis Canada, Inc. 

H. E. Peelle III, The Peelle Co., Ltd. 

S. P. Reynolds, Alternate, The Peelle Co., Ltd. 

R. L. Phillips, Georgia Department of Labor 

A. Rehman, Schindler Elevator Corp. 

V. P. Robibero, Schindler Elevator Corp. 

C W. Rogler, State of Michigan 

R. L. Seymour, Robert L. Seymour and Associates, Inc. 

R. S. Seymour, Alternate, Robert L Seymour and Associates, Inc. 

D. L. Steel, David L. Steel Escalators 

D. L. Turner, Davis L. Turner and Associates 

R. S. Caporale, Alternate, Elevator World, Inc. 

A. H. Verschell, Consulting Engineer 



March 2007 



:; f Copyright © 2007 by the American Society of Mechanical Engineers. (£$& | 

I \ No reproduction may be made of this material without written consent of ASME. ^W* J 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



C E. Vlahovic, TSSA 

R. HadalDer, Alternate, TSSA 
D. M. Winkle, IUEC Local #14 

D. A. Witham, GAL Manufacturing 

Honorary Members 

L. J. Blaiotta 

W. E. Chamberlain 

B. J. Fanguy 
W. j. Figiel 

H. E. Godwin, Jr. 

C. E. Hempel 
C L. Kort 

A. A. Mascone 
J. McAulay, Jr. 

E. M. Philpot 
R. L. Rogers 
R. W. Young 
L. E. White 



VI 



March 2007 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



CSA B44 Technical Committee on the 
Elevator Safety Code 



R. Hadaller 

D. McColl 

T. Baik 

G. Befekadu 

L. Bialy 

B. Blackaby 

S. Bornstein 

M. Brierley 
A. Brown 

A. Byram 

R. Cavan 

D. Cook 

E. Donoghue 

R» Droste 
D. Eastman 

G. Gibson 

P. Girouard 

A. Griffin 



Technical Standards & Safety Authority, 
Toronto, Ontario, Canada 

Otis Canada, Inc., 
Mississauga, Ontario, Canada 

Toronto Transit Commission, 
Toronto, Ontario, Canada 

Oil Lift Systems Inc., 
Ayr, Ontario, Canada 

Otis Elevator Company, 
Farmington, Connecticut, USA 

Otis Elevator Company, 
Farmington, Connecticut, USA 

KONE Inc., 

Toronto, Ontario, Canada 

Coldwater, Ontario, Canada 

KONE Inc., 

Toronto, Ontario, Canada 

New Brunswick Department of Public Safety, 
Saint John, New Brunswick, Canada 

Human Resources and Social Development Canada, 
Ottawa, Ontario, Canada 

Coquitlam, British Columbia, Canada 

Edward A. Donoghue Associates Incorporated, 
Salem, New York, USA 

Avon, Connecticut, USA 

Government of Newfoundland and Labrador, 
St. John's, Newfoundland, Canada 

George W. Gibson & Associates Inc., 
Sedona, Arizona, USA 

Plafolift Inc., 

Warwick, Quebec, Canada 

Alberta Municipal Affairs, 
Edmonton, Alberta, Canada 



Chair 



Vice-Chair 



Associate 



Associate 



Associate 



Associate 
Associate 



Associate 
Associate 

Associate 
Associate 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



VII 



ASMEA17J-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



A. Hopkirk 

U. Huskic 

L. Janssens 

"Jay 

K. Jenkins 

C. Kappenhagen 

F, Kassem 

I. Kennedy 
R. Kennedy 

j. Koshak 

M. Liberatore 
E. MacArthur 

A. Marchant 
R. Marion 
R. Marsiglio 
L. Martineau 

A. McGregor 

B. Mclntyre 
I. Mercer 

S. Mercier 



Canadian Elevator Contractors Association, 
Scarborough, Ontario, Canada 

Fujitec Canada Inc., 

Richmond Hill, Ontario, Canada 

Saskatchewan Corrections and Public Safety, 
Saskatoon, Saskatchewan, Canada 

British Columbia Safety Authority (BCSA), 
New Westminster, British Columbia, Canada 

KJA Consultants Inc., 
Montreal, Quebec, Canada 

Schindler Elevator Corporation, Associate 

Morristown, New Jersey, USA 

CNIM Canada inc., 
Montreal, Quebec, Canada 

Brighton, Ontario, Canada 

Nova Scotia Department of Environment and Labour, 
Halifax, Nova Scotia, Canada 

ThyssenKrupp Elevator, Associate 

Collierville, Tennessee, USA 

Halifax, Nova Scotia, Canada Associate 

Prince Edward Island Department of Community and 

Cultural Affairs, 

Charlottetown, Prince Edward Island, Canada 

Alimak Hek, Inc., 
Bridgeport, Connecticut, USA 

Government of the Northwest Territories, 
Yellowknife, Northwest Territories, Canada 

H.H. Angus & Associates Ltd., 
Don Mills, Ontario, Canada 

STM (Montreal Transport Society), 
Montreal, Quebec, Canada 

Rooney, Irving & Associates Ltd., 
Ottawa, Ontario, Canada 

IUEC Local No. 50, 
Scarborough, Ontario, Canada 

Government of Newfoundland and Labrador, Associate 

St. John's, Newfoundland, Canada 

Regie du batiment du Quebec, 
Montreal, Quebec, Canada 



••• 
VIII 



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March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



M. Pedram 
H. Peelle 
A. Rehman 

A. Reistetter 
T. Rieger 

J. Rooney 
R. Scharfe 
E. Sopeju 

B. Virk 

D. Walton 

D. Warne 

P. Yau 

E. Zebedee 

T. Tulshi 



ThyssenKrupp Northern Elevator Corp., 
Scarborough, Ontario, Canada 

The Peelle Company Limited, 
Brampton, Ontario, Canada 

Schindler Elevator Corporation, 
Scarborough, Ontario, Canada 

National Elevator & Escalator Association, 
Mississauga, Ontario, Canada 

Manitoba Department of Labour and Immigration, 
Winnipeg, Manitoba, Canada 

Priestman, Neilson & Associates Ltd., 
Kanata, Ontario, Canada 

Public Works and Government Services Canada, 
Ottawa, Ontario, Canada 

Underwriters' Laboratories of Canada, 
Scarborough, Ontario, Canada 

Unitech Elevator Company, 
Pickering, Ontario, Canada 

Eastern Elevator Inc., 
Bowmanville, Ontario, Canada 

Alberta Elevating Devices and Amusement Rides 
Safety Association, 
Calgary, Alberta, Canada 

Public Works and Government Services Canada, 
Toronto, Ontario, Canada 

Government of Nunavut Community and Government 

Services, 

Iqaluit, Nunavut, Canada 

Canadian Standards Association, 
Mississauga, Ontario, Canada 



Associate 



Associate 



Associate 



Associate 



Associate 



Project 
Manager 



March 2007 



IX 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



ASME A1 7. 7-2007/CSA B44.7-07 



© Canadian Standards Association 
€> American Society of Mechanical Engineers, Inc. 



ASME A17.7/CSA B44.7 Committee 
on New Technology 



J. Coaker 


Coaker & Co Pc, 

Fairfax Station, Virginia, USA 


Chair 


G, Burdeshaw 


American Society of Mechanical Engineers, 
New York, New York, USA 


Secretary 


R. Baxter 


Richard E. Baxter & Associates, Lie, 
Allen, Texas, USA 


Alternate 


M. Bayyari 


Fujitec America, Inc., 
Lebanon, Ohio, USA 




L. Bialy 


Otis Elevator Company, 
Farmington, Connecticut, USA 




A. Brown 


KONE Inc., 

Toronto, Ontario, Canada 


Correspor 


A. Byram 


New Brunswick Department of Public Safety, 
Saint John, New Brunswick, Canada 




R. Caporale 


Elevator World Inc., 
Mobile, Alabama, USA 




L. Capuano 


Elevator Engineering Services, 
Westfield, New Jersey, USA 




M. Chan 


Technical Standards & Safety Authority, 
Toronto, Ontario, Canada 


Alternate 


E. Donoghue 


Edward A. Donoghue Associates Incorporated, 
Salem, New York, USA 




R. Droste 


Avon, Connecticut, USA 




0. Gibson 


George W. Gibson & Associates Inc., 
Sedona, Arizona, USA 




A. Griffin 


Alberta Municipal Affairs, 
Edmonton, Alberta, Canada 




I Jay 


British Columbia Safety Authority (BCSA), 
New Westminster, British Columbia, Canada 


Correspot 


A. Juhasz 


KONE Inc., 
Moline, Illinois, USA 




L. Kanicki 


Township of Burlington, 
Lamberton, New Jersey, USA 




R. Kennedy 


Nova Scotia Department of Environment 





and Labour, 

Halifax, Nova Scotia, Canada 



c 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, inc. 



Performance-based safety code for elevators and escalators 



J. Koshak 
G. Kosinski 
R. Laney 
K. Lloyd Jr. 
D. McColl 
M. Mihai 
M. Pedram 
V. Robibero 
D. Stanlaske 
T. Tulshi 
D. Turner 



ThyssenKrupp Elevator, 
Collierville, Tennessee, USA 

Elevator Industry Work Preservation Fund, 
San Antonio, Texas, USA 

Draka Elevator Products, 

Rocky Mount, North Carolina, USA 

Abell Elevator International, 
Louisville, Kentucky, USA 

Otis Canada, Inc., 
Mississauga, Ontario, Canada 

Technical Standards & Safety Authority, 
Toronto, Ontario, Canada 

ThyssenKrupp Northern Elevator Corp., 
Scarborough, Ontario, Canada 

Schindler Elevator Corp., 
Morristown, New Jersey, USA 

Naesa International, 
Tumwater, Washington, USA 

Canadian Standards Association, 
Mississauga, Ontario, Canada 

Davis L. Turner & Assoc. Lie, 
Mission Viejo, California, USA 



Corresponding Member 



Corresponding Member 



March 2007 



c 



XI 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



®^3 I 



<D Canadian Standards Association 
ASME A1 7.7-2007/CSA B44.7-07 © American Society of Mechanical Engineers, Inc. 



Foreword 



Present ASME A1 7.1 /CSA B44 Code requirements provide a framework for standards of safety for current 
products whose technologies have become state-of-the-art and commonplace. The ASME A1 7 and 
CSA B44 Committees have demonstrated responsiveness to prepare new requirements to cover newly 
introduced designs and technologies throughout their long histories, which span over 80 years. 

The ASME A1 7 and CSA B44 Code Committees will continue their longstanding policies of revising Codes 
to keep them abreast of developments in the industry. The ASME A1 7 and CSA B44 Committees have 
responded to new developments throughout their histories, as evidenced by the inclusion of requirements 
to recognize technological advances (such as increased car speeds, solid state electronic devices, 
observation elevators, installation of counterweights in separate hoistways, material lifts and dumbwaiters 
with automatic transfer devices, special purpose personnel elevators, inclined elevators, elevators used for 
construction, limited-use/limited-application elevators, and shipboard elevators). 

In a progressive elevator industry, designs and products emerge that are not specifically covered in the 
ASME A1 7.1 /CSA B44 Code. Since Code requirements cannot anticipate future development and 
innovation in the elevator industry, they are written to reflect state-of-the-art technologies following 
introduction. Accordingly, products will be introduced prior to requirements being adopted into the 
ASME A1 7.1 /CSA B44 Code, 

With new materials and processes in mechanical, structural, electronic, and optics areas, in addition to 
analytical capabilities now available, the need for flexibility to introduce products resulting from maturing 
technical developments is heightened. The ASME A1 7.1 and CSA B44 Code Committees realized long ago 
that the time gap between the introduction of new technologies and introduction of relevant specific 
requirements in the Codes could hinder progress. Therefore, they introduced long-standing provisions, in 
Section 1 .2, that suggest that Authorities Having jurisdiction or Regulatory Authorities, hereafter referred 
to as AHJ, should recognize new systems, methods, or devices provided that they assure safety equivalent 
to that required by the Codes. However, the lack of a structured method for assessment of equivalency has 
proven to be a problem in the practical implementation of Section 1 .2 provisions. 

This new performance-based Code, ASME A1 7.7/CSA B44.7, provides an objective and structured method 
for establishing design and product safety. It is in the public interest that safe designs and products be 
introduced into the marketplace. Safeguards must be provided and documentation must be presented to 
show that designs and products are equivalent or superior in quality, strength, stability, fire resistance, 
effectiveness, durability, and safety to that intended by the ASME A1 7.1 /CSA B44 Code. This structured 
method also provides a consistent means of demonstrating safety of designs and products, which will be 
helpful to AH). 



XII March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



ASME Preface 



General 

This performance-based Code is one of numerous codes and standards developed and published by the 
American Society of Mechanical Engineers (ASME) under the general auspices of the American National 
Standards Institute, Inc. (ANSI). 

The Code is intended to serve as the basis for design, construction, installation, operation, testing, 
inspection, maintenance, alteration, and repair of elevators, dumbwaiters, escalators, moving walks, and 
material lifts. 

Safety codes and standards are intended to enhance public health and safety. Revisions result from 
committee consideration of factors such as technological advances, new data, and changing 
environmental and industry needs. Revisions do not imply that previous editions were inadequate. 

The following conditions are not addressed in this Code: 

(a) assignment of the responsibility for compliance to any particular party; 

(b) frequency of periodic inspections and tests; and 

(c) assignment of responsibility for persons authorized to make and witness inspections and tests. 

Correspondence with ASME A17 Committee 

ASME codes and standards are developed and maintained with the intent to represent the consensus of 
concerned interests. As such, users of this and other ASME A1 7 codes and standards may interact with the 
committee by requesting interpretations, proposing revisions, and attending committee meetings. 

Correspondence should be addressed to: 

Secretary, A1 7 Standards Committee 

The American Society of Mechanical Engineers 

Three Park Avenue 

New York, NY 1001 6 USA 

E-mail: tnfocentrai@asme.org 
All correspondence to the Committee must include the individual's name and post office address in case 
the Committee needs to request further information. 

Proposing revisions 

Revisions are made periodically to the Code to incorporate changes that appear necessary or desirable, as 
demonstrated by the experience gained from the application of the procedures, and in order to conform 
to developments in the elevator industry. Approved revisions will be published periodically. 

The ASME A1 7 Committee welcomes proposals for revisions to this Code. Such proposals should be as 
specific as possible, citing the section number(s), the proposed wording, and a detailed description of the 
reasons for the proposal, including any pertinent documentation. 

Requesting interpretations 

On request, the ASME A1 7 Committee will render an interpretation of any requirement of the Code. 
Interpretations can be rendered only in response to a written request sent to the Secretary of the 
Standards Committee. 

The request for interpretation should be clear and unambiguous. It is further recommended that the 
inquirer submit the request using the following format: 



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Subject: Cite the applicable section number(s) and give a concise description. 

Edition: Cite the applicable edition and supplement of the Code for which the interpretation is 
being requested. 

Question: Phrase the question as a request for an interpretation of a specific requirement suitable 
for general understanding and use, not as a request for approval of a proprietary design 
or situation. The question shall be phrased, where possible, to permit a specific "yes" or 
"no" answer. The inquirer may also include any plans or drawings that are necessary to 
explain the question; however, they should not contain proprietary names or 
information. 

Requests that are not in this format will be rewritten in this format by the Committee prior to being 
answered, which may inadvertently change the intent of the original request. 

ASME procedures provide for reconsideration of any interpretation if additional information that might 
affect an interpretation becomes available. Further, persons aggrieved by an interpretation may appeal to 
the appropriate ASME committee or subcommittee. ASME does not "approve," "certify," "rate," or 
"endorse" any item, construction, proprietary device, or activity. 

Attending Committee meetings 

The ASME A1 7 Standards Committee and the various Working Committees regularly hold meetings, all of 
which are open to the public. Persons wishing to attend any meeting should contact the Secretary of the 
Standards Committee. 



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© Canadian Standards Association 

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Performance-based safety code for elevators and escalators 



CSA Preface 



This is the first edition of ASME A1 7.7/CSA B44.7, Performance-based safety code for elevators and 
escalators. This is a fully harmonized binational Code. 

This Code is considered suitable for use for conformity assessment within the stated scope of the Code. 

This Code was prepared for use in Canada by the CSA Technical Committee on the Elevator Safety Code 
under the jurisdiction of the CSA Strategic Steering Committee on Public Safety. It has been formally 
approved by the CSA Technical Committee. 

March 2007 

Notes: 

(1) Use of the singular does not exclude the plural (and vice versa) when the sense allows. 

(2) Although the intended primary application of this Code is stated in its Scope, it is important to note that it remains the 
responsibility of the users of the Code to judge its suitability for their particular purpose. 

(3) This publication was developed by consensus, which is defined by CSA Policy governing standardization — Code of 
good practice for standardization as "substantial agreement Consensus implies much more than a simple majority 
but not necessarily unanimity". It is consistent with this definition that a member may be included in the Technical 
Committee list and yet not be in full agreement with all clauses of this publication. 

(4) CSA Codes and Standards are subject to periodic review, and suggestions for their improvement will be referred to the 
appropriate committee. 

(5) All enquiries regarding this Code, including requests for interpretation, should be addressed to Canadian Standards 
Association, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N6. 

Requests for interpretation should 

(a) define the problem, making reference to the specific clause, and, where appropriate, include an illustrative sketch; 

(b) provide an explanation of circumstances surrounding the actual field condition; and 

(c) be phrased where possible to permit a specific "yes" or "no" answer. 

Committee interpretations are processed in accordance with the CSA Directives and guidelines governing 
standardization and are published in CSA's periodical Info Update, which is available on the CSA Web site at 
www.csa.ca. 

(6) Attention is drawn to the possibility that some of the elements of this Standard may be the subject of patent rights. CSA 
is not to be held responsible for identifying any or all such patent rights. Users of this Standard are expressly advised 
that determination of the validity of any such patent rights is entirely their own responsibility. 



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© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Form and arrangement 



General 

This Code consists of parts and sections, each covering a specific subject so as to facilitate reference to the 
requirements. 

The foreword, prefaces, notes, and nonmandatory appendices included in this Code and any 
interpretations provided subsequently are not part of this Code. They are advisory in nature and are 
intended for clarification only. 



Abbreviation 


Unit 


Abbreviation 


Unit 


h 
J 


hour 
Joule 


m/s 2 


meter per second 
per second 


kg 


kilogram 


mm 


millimeter 


kg/m 2 


kilogram per square meter 


mm 2 


square millimeter 


kPa 


kilopascal 


mm 3 


cubic millimeter 


Ix 


lux 


MPa 


megapascal 


m 


meter 


N 


Newton 


m 2 


square meter 


s 


second 


m 3 


cubic meter 


W 


Watt 


m/s 


meter per second 







Acronyms used in this Code 

AECO Accredited Elevator/Escalator Certification Organization 

AHJ Authority Having Jurisdiction (Regulatory Authority) 

ANSI American National Standards Institute 

ASME American Society of Mechanical Engineers 

CCD Code Compliance Document 

CSA Canadian Standards Association 

EN European Norms 

EPD Electrical Protective Device 

FMEA Failure Mode and Effects Analysis 

FOS Factor of Safety 

FTA Fault Tree Analysis 

CESR Global Essential Safety Requirement 

ISO International Organization for Standardization 

KE Kinetic Energy 

LCU Load-Carrying Unit (Car) 

MCP Maintenance Control Program 

MOSAR Method Organized for Systematic Analysis of Risk 

PES Programmable Electronic System 

PHA Preliminary Hazard Analysis 

RA Risk Assessment 



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SCC Standards Council of Canada 

SIL Safety Integrity Level 

SP Safety Parameter 

S/P Severity/Probability 

TC Technical Committee 

UTS Ultimate Tensile Strength 

Note (Acronyms used in this Code): See also Part 5 for acronyms used for referenced standards. 

SI (metric) units 

This Code is written in SI (metric) units. Information on SI usage and conversion to imperial units is 
contained in IEEE/ASTM SI 1 0-1 997, Standard for the Use of the International System of Units (SI): The 
Modem Metric System, ASME Guide SI-1, Orientation and Guide for Use of SI (Metric) Units, and 
CAN/CSA-Z234.1, Canadian Metric Practice Guide. 



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PARTI 
GENERAL 

SECTION 1.1 
SCOPE 

1.1.1 Equipment Covered by this Code 

This Code covers the design, construction, operation, inspection, testing, maintenance, alteration, and 
repair of the following equipment and its associated parts, rooms, spaces, and hoistways, where located in 
or adjacent to a building or structure: 

(a) hoisting and lowering mechanisms, equipped with a car, that move between two or more landings. 
This equipment includes, but is not limited to, elevators (see 1 3); 

(b) power-driven stairways and walkways for carrying persons between landings. This equipment 
includes, but is not limited to, escalators and moving walks (see 1.3); and 

(c) hoisting and lowering mechanisms, equipped with a car, that serve two or more landings and are 
restricted to the carrying of material by their limited size or limited access to the car. This equipment 
includes, but is not limited to, dumbwaiters and material lifts (see 1 .3). 

NOTE 1.1.1(b) and (c): Only elevators are covered in this edition. Other equipment is to comply with 1.2(a). Provision is 
made for other equipment to be covered in future editions. 

1.1.2 Equipment Not Covered by this Code 

Equipment not covered by this Code includes, but is not limited to, the following: 

(a) personnel hoists within the scope of ANSI A1 0.4 and CSA Z1 85; 

(b) material hoists within the scope of ANSI A1 0.5 and CSA Z256; 

(c) platform lifts and stairway chairlifts within the scope of ASME A1 8.1, CSA B355, and CSA B61 3; 

(d) manlifts within the scope of ASME A90.1 and CSA B31 1 ; 

(e) mobile scaffolds, towers, and platforms within the scope of ANSI A92 and the CSA B354 series of 
standards; 

(f) powered platform and equipment for exterior and interior building maintenance within the scope of 
ASME A1 20.1 andCSAZ271; 

(g) conveyors and related equipment within the scope of ASME B20.1 ; 

(h) cranes, derricks, hoists, hooks, jacks, and slings within the scope of ASME B30, CSA Z1 50, CSA B1 67, 

and CSA Z248; 
(i) industrial trucks within the scope of ASME B56 and CSA B335; 
(j) portable equipment, except for portable escalators; 
(k) tiering or piling machines used to move material to and from storage located and operating entirely 

within one story; 
(I) equipment for feeding or positioning material at machine tools, printing presses, etc.; 
(m) skip or furnace hoists; 
(n) wharf ramps; 
(o) amusement devices; 
(p) stage and orchestra lifts; 
(q) lift bridges; 

(r) railroad car lifts and dumpers; 
(s) mechanized parking garage equipment; 

(t) line jacks, false cars, shatters, moving platforms, and similar equipment used for installing an elevator; 
(u) platform elevators installed in a ship or offshore drilling rig and used for the purpose of loading and 

unloading cargo, equipment, and personnel; 
(v) dock levelers (freight platform lifts) having a travel of 500 mm (20 in.) or less; 



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(w) in Canadian jurisdictions, devices having a travel of 2 000 mm (79 in.) or less and used only for the 
transfer of materials or equipment. 

1.1.3 Effective Date 

The requirements of this edition and subsequent addenda to the Code are effective as of the date noted 
on the copyright page of this document. The AHJ will establish the effective date for its local regulations. 

SECTION 1.2 
PURPOSE 

The purpose of this Code is to provide a method for establishing the safety of life and limb, and to 
promote the public welfare. Compliance with this Code shall be achieved by 

(a) conformance with the requirements in ASME A1 7.1 /CSA B44; 

(b) conformance with some of the requirements in ASME A1 7.1 /CSA B44 and for elevator systems, 
sub-systems, components, or functions that do not conform with certain requirements in 
ASME A1 7.1 /CSA B44, conformance with the applicable requirements in this Code; or 

(c) conformance with the requirements in this Code. 

NOTE (1 .2): Compliance with ASME A1 7. 7 /CSA B44.7 is not an alternative to compliance with requirements in other Codes 
and Standards not within the purview of ASME A 1 7. 1/CSA B44, such as NFPA 70, CSA C22. 1, building codes, ICC/ ANSI 
A) 17.1, etc 

SECTION 1.3 
DEFINITIONS 

Section 1.3 defines various terms used in this Code. The terms defined in ASME A1 7.1 /CSA B44, 
Section 1.3, also apply, except as modified by the following: 

Accredited Elevator/Escalator Certification Organization (AECO): An ANSI, ASME, or SCC 
accredited, independent organization concerned with product safety evaluation, which awards certificates 
of conformance with ASME A1 7.7.1 /CSA B44.7.1 . 

NOTE [Accredited Elevator/ Escalator Certification Organization (AECO)]: For the purpose of this definition, "accredited" 
means that an organization has been evaluated and approved by ANSI, ASME, or SCC to operate a certification program, 
and is designated as such by ANSI, ASME, or SCC. 

applicant: the manufacturer or installer that submits the component(s) or the elevator system(s) for 
certification to an AECO for the purpose of obtaining a "Certificate of Conformance to 
ASME A1 7.7.1 /CSA B44.7.1". 

cause: circumstance, condition, event, or action that, in a hazardous situation, contributes to the 
production of an effect. 1 

certification: see ISO/IEC 1 7000. 

effect: result of a cause in the presence of a hazardous situation. 1 

electromagnetic compatibility: degree of immunity to incident electromagnetic radiation and level 
of emitted electromagnetic radiation of electrical apparatus. 2 

fully loaded LCU (car): LCU (car) loaded with its rated load. 2 

global essential safety requirement (CESR): globally agreed-upon essential safety requirement. 2 

harm: physical injury or damage to the health of people, or damage to property or the environment. 3 



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harmful event: occurrence in which a hazardous situation results in harm. 3 

NOTE (harmful event): In this Code, the combination of "cause" and "effect, including harm" forms a "harmful event". 

hazard: potential source of harm. 3 

NOTE (hazard): The term "hazard" can be qualified in order to define its origin or the nature of the expected harm (such as 

electric shock hazard, crushing hazard, cutting hazard, toxic hazard, fire hazard, and/or drowning hazard). 

hazardous situation: circumstance in which people, property, or the environment are exposed to one 
or more hazards. 3 

installer of an elevator: the legal entity that takes responsibility for the installation and placing of an 
elevator system, sub-system, component, or function into service. 

life cycle: period of usage of a component or an elevator system. 1 

load-carrying unit (LCU) (car): part of an elevator designed to carry persons and/or other goods for 
the purpose of transportation. 2 

manufacturer: the legal entity that takes responsibility for design and manufacture of an elevator 
system, sub-system, component, or function. 

model elevator: a representative elevator whose technical description shows the way in which the 
GESRs will be met for a series-produced group of elevators having a defined range of application and 
operation. 

non-user: person in the vicinity of the elevator but not intending to access or use the elevator. 2 

overload, overloaded: load in the LCU (car) exceeds the elevator rated load. 2 

platform: part of LCU (car) that accommodates persons and load for the purpose of transportation. 2 
NOTE (platform): See also ASME A17.1 /CSA B44, Section 7 . 3, definition of "car platform ". 

protective measure: means used to reduce risk. 3 

NOTE (protective measure): Protective measures include risk reduction by inherently safe design, removal of hazard, 

protective devices, personal protective equipment, information for use and installation, and training. 

reasonably foreseeable misuse: use of a product, process, or service in a way not intended by the 
manufacturer, but which may result from readily predictable human behavior. 3 

relative movement: situation where an elevator component moves in the vicinity of other elevator 
components that are stationary or move at different speeds or in different directions; also a situation where 
an elevator component moves in the vicinity of a structure where persons may be present 
EXAMPLE (relative movement): Building floor surrounding the elevator hoistway 

residual risk: risk remaining after protective measures have been taken. 3 

risk: combination of the probability of occurrence of harm and the severity of that harm. 3 

risk analysis: systematic use of available information to identify hazards and to estimate the risk. 3 

risk assessment: overall process comprising a risk analysis and a risk evaluation. 3 

risk evaluation: consideration of the risk analysis results to determine if risk reduction is required. ] 

safety parameter (SP): a quantitative unit, the value of which provides a level of safety consistent with 
that provided by relevant codes and standards in current use in the elevator industry and good 
engineering practices. 



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safety requirement (SR): requirement intended to eliminate or sufficiently mitigate the risk of harm to 
users, non-users, and elevator personnel using or associated with elevators and escalators. 

scenario: sequence of a hazardous situation, cause, and effect. 1 

severity: level of potential harm. 1 

travel path: path and related space within which an LCU (car) travels between the elevator terminal 

landings. 2 

NOTE (travel path): For "space" above and below the terminal landings, see definition of "hoistway" in ASME 

A17.1/CSAB44. 

uncontrolled movement: situation where an LCU (car) moves when, according to design of the 
elevator, it was to remain stopped, or where an LCU (car) travels at a speed that is out of control of the 
elevator means designed and intended to control the LCU (car) speed during the elevator operation. 2 
EXAMPLES (uncontrolled movement): 

(1) An LCU (car) starts to move away from a landing while the users are entering or leaving the LCU (car), due to failure of, 
or breakdown in, elevator components, such as speed control, driving machine, or brake system. 

(2) The LCU (car) speed exceeds its designed speed or does not decelerate or stop as intended, due to failure of, or 
breakdown in, elevator components, such as speed control, driving machine, or brake system, 

user: person using the elevator for the purpose of normal transportation, without any help or supervision, 
including a person carrying freight and a person using a specially dedicated operating system to transport 
freight or loads. 2 

NOTE (user): An example of the use of a specially dedicated operating system is "hospital service" for transport of hospital 
patients, whereby the operation of the elevator is solely under control of the patients attendant. 

working area or space: area or space defined for use by elevator personnel to perform maintenance, 
inspection, or testing of the elevator. 2 
NOTES (1.3): 

1 ISO 14798 - Risk assessment and risk reduction methodology 

2 ISO/TS 22559-1 - Safety requirements for lifts (elevators) - Part 1 - Global essential safety requirements (CESRs) for lifts 
(elevators). 

3 ISO/lEC Guide 5 7 - Safety aspects - Guidelines for their inclusion in standards. 



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© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

PART 2 
SAFETY REQUIREMENTS 

SECTION 2.1 

PROCESSES FOR ESTABLISHING SAFETY 

2.1.1 ASMEA17.1/CSAB44 Process 

2.1.1.1 

To ensure that an elevator is safe for public utilization, protective measures shall be implemented in the 
course of design, production, installation, inspection, testing, operation, maintenance, alteration, and 
repair. Effectiveness of protective measures shall be preserved through the life cycle of the elevator. Safety 
is conventionally achieved by meeting applicable requirements of the ASME A1 7.1 /CSA B44 Code. 

2.1.1.2 

Section 1 .2 of the ASME A1 7.1 /CSA B44 Code allows use of systems, methods, or devices of equivalent or 
superior quality, strength, fire resistance, effectiveness, durability, and safety to those prescribed by the 
ASME A1 7.1 /CSA B44 Code provided that there is technical documentation or physical performance 
verification that will assure safety equivalent to that which would be provided by conforming to the 
corresponding requirements of ASME A1 7.1 /CSA B44. 

2.1.2 ASME A17.7/CSAB44. 7 Process 

2.1.2.1 

This Code provides an alternative process to the ASME A1 7.1 /CSA B44 Code for establishing elevator 
safety. It includes a structured methodology for establishing, documenting, and demonstrating that 
necessary and appropriate protective measures are taken to eliminate hazards or sufficiently mitigate risks. 
This process is particularly useful for establishing safety of elevator systems, sub-systems, components, or 
functions involving innovative design and new technologies. 

2.1.2.2 

The process is based on a structured application of GESRs. 

NOTE (2. 1 .2.2): Port 3 contains GESRs. Nonmandatory Appendix A gives background on their development and the process 
for using them. For more detail on GESRs, refer to ISO/TS 22559-1. 

2.1.2.3 

A GESR states only the safety objective, or "what" shall be done or accomplished, but not "how" to 
accomplish the objective. To accomplish the safety objective of a GESR, elevator systems, sub-systems, 
components, or functions and SPs that are used shall be capable of eliminating or sufficiently mitigating 
safety risks addressed in the GESR. 

NOTE (2.1.2.3): Nonmandatory Appendix B-1 contains the SPs in relation to the specific GESRs. An SP may be specified in 
the form of SILs, clearances, strength, durability acceleration or retardation values, etc. 

2.1.2.4 

To verify and demonstrate that an elevator system, sub-system, component, or function complies with the 
safety objectives of an applicable GESR, risk assessment is carried out and the results documented. 

NOTE (2.1.2.4): Section 2.7 and Nonmandatory Appendix C give basic information on available risk assessment methods, 
including more details and templates for use in relation to the method specified in ISO 14798. 



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2.1.2.5 

After the subject of the risk assessment has been defined (23), applicable GESRs identified (2.4 and 2.5) 
and implemented (2.6), risk assessment conducted (27), and identified risks sufficiently mitigated by 
implementing protective measures (2.8) and SPs (2.9) where appropriate, a CCD shall be produced (2.1 0) 
to be subjected to a conformity assessment process. 

NOTE (2. 1.2.5): Mandatory Appendix I gives details on the certification procedures used byAECOs. 

2.1.3 Equivalency of Processes 

Compliance with the ASME A1 7.1 /CSA B44 Code is a recognized de-facto means for meeting applicable 
ASME A1 7.7/CSA B44.7 GESRs without further verification. 

SECTION 2.2 

OPTIONS FOR ESTABLISHING SAFETY 

2.2.1 

The safety of an elevator system, sub-system, component, or function shall be established by one of the 
following processes: 

(a) Option 1 — Conform to the requirements in ASME A1 7.1 /CSA B44; 

(b) Option 2 — Conform to some of the requirements in ASME A1 7.1 /CSA B44 and for elevator systems, 
sub-systems, components, or functions that do not conform to certain requirements in ASME 

A1 7.1 /CSA B44, conform to the applicable requirements in this Code; or 

(c) Option 3 — Conform to the requirements in this Code. 

NOTES (2.2. 1): 

(1) Option 1 is the conventional process used by implementing the ASME A 1 7. 1/CSA B44 Code. 

(2) Option 2 is the most common process for innovative design or use of new technology. The elevator system, sub-system, 
component, or function will typically meet most requirements of ASME A1 7. 1/CSA B44; however, it may have certain 
design or other features or components not covered by, or which deviate from, ASMEA17. 1/CSA B44 prescriptive 
requirements but conform to applicable CESRs in Section 3. 

(3) Option 3 provides the alternative of achieving safety by satisfying all the applicable CESRs in Section 3. The option is 
useful when the elevator system, sub-system, component, or function is radically different from that addressed by 
ASMEA17. 1/CSA B44 requirements. In this case, all applicable requirements of the CESRs must be met 

2.2.2 

This Code establishes the process for implementation of Options 2 and 3. 

NOTE (2.2.2): In the case of Option 1, requirements of ASME AU. 1/CSA B44 fully apply 

SECTION 2.3 

SAFETY ASSESSMENT SUBJECT 

2.3.1 

The safety assessment subject (such as an elevator system, sub-system, component, or function or 
installation, maintenance, operation, and use, throughout the life cycle of the elevator) shall be clearly 
described. If the subject is a range of products, such range shall be specified. 

EXAMPLES (2.3.7 ;; 

(1) Example of an elevator system to be assessed - Elevator without a machine room. 

(2) Example of a range of products - Duty loads, operating speeds, rise, and other relevant characteristics. 



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2.3.2 

It is only necessary to describe the particular characteristics of the system that impact safety of the system. 

EXAMPLE (2.3.2): If the design relates to an elevator car door, the speed or rise of the elevator and other elevator features 
may not be relevant In such case, the sole subject of analysis and assessment will be the car door. 

2.3.3 

The described elevator system, sub-system, component, or function shall be identified by documentation, 
including drawings and specifications, and installation, testing, and operational instructions, etc., that 
uniquely characterize the equipment to be assessed for safety. Documentation shall also provide 
information to enable identification of the elevator system, sub-system, component, or function once 
installed in the field. 

NOTE (2.3.3): See Section 2. 1 for documentation requirements. 

SECTION 2.4 

ASSURING SAFETY BY IMPLEMENTING GESRs 

2.4.1 Introduction 

GESRs for elevators are listed in Part 3. They are grouped on the basis of locations where a person could be 
exposed to a hazard, hazardous situation, or harmful event, as follows: 

(a) at different locations (3.1 ); 

(b) adjacent to the elevator (3.2); 

(c) at the elevator entrance (3.3); 

(d) inside LCU (car) (3.4); and 

(e) working areas (3.5). 

NOTES (2.4.1): 

(1) Nonmandatory Appendix A-1 provides information on the approach and methodology used by ISO in developing and 
formulating GESRs. 

(2) Nonmandatory Appendix A-2 provides information on the selection and implementation of GESRs in relation to the 
new elevator systems, sub-systems, components, or functions and the steps towards obtaining a Certificate of 
Conformance. 

(3) Nonmandatory Appendix A-3 is provided to give users an overview of GESRs in relation to elevator sub-systems to 
which GESRs apply or could apply. 

(4) Nonmandatory Appendix A~4 is provided as a method of selecting applicable GESRs. 

2.4.2 Identification of Applicable GESRs 

2.4.2.1 Possible Approaches 

When assessing safety of an elevator system, sub-system, component, or function, the applicability of 
GESRs shall be determined by the approach in 2.4,2.2 or 2,4.2.3. 

NOTE (2.4.2. 1): For more details, see A-2. 2 in Nonmandatory Appendix A-2. 

2.4.2.2 Approach 1 - Preliminary Review of All GESRs 

2.4.2.2.1 

GESRs in Part 3 shall be reviewed to identify those that could be applicable to the subject being assessed 
for safety. Selection of applicable GESRs shall be consistent with the scope and range of the application to 
the described elevator system, sub-system, component, or function. 



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2.4.2.2.2 

If conformance with applicable CESRs is not self-evident, risk assessment shall be completed to 
demonstrate conformance. (See 2.7 and Nonmandatory Appendix C.) 

NOTE (2.4,2.2): For this purpose, a copy of the template provided in Nonmandatory Appendix A-4 can be used. The 
template is identical to the table in Nonmandatory Appendix A-3, except that two more columns are added — column "Ap" 
to identify that the GESR in the corresponding row is or may be applicable to the subject of risk assessment, and column 
"RA" to enter the risk assessment case identification to document compliance with the relevant GESR, or alternatively the 
ASME A 1 7. 1/CS A B44 Code reference requirement when full compliance is achieved by meeting such requirements. 
Nonmandatory Appendix E-2 is an example of use of the template. 

GESRs shall be sorted as specified in 2,5. 

2.4.2.3 Approach 2 - Risk Scenarios 

2.4.2.3.1 

Risk scenarios that could occur during operation and use, as well as during maintenance, inspection, and 
testing of the elevator system, sub-system, component, or function throughout its life cycle, shall be 
developed and formulated. Each scenario shall include a description of hazardous situations, possible 
causes, and effects (2.7.3). 

2.4.2.3.2 

Risk assessment for each scenario shall be completed (see 2 J and Nonmandatory Appendix C). 

2.4.2.3.3 

CESR(s) with which compliance would eliminate or sufficiently mitigate the risk shall be identified. 

NOTE (2.4.2.3): For abbreviated examples of formulation of risk scenarios, see Nonmandatory Appendix Table A- 1 . For a 
comprehensive list of, and examples for, elevator-related hazards, hazardous situations, causes, and effects, refer to 
Nonmandatory Appendix Tables D~1 to D~4, For "Risk assessment template", see Nonmandatory Appendix C For examples 
of use of this template, see Nonmandatory Appendix E-2. 

SECTION 2.5 

SORTING OF APPLICABLE GESRS FOR APPROACH 1 

2.5.1 

GESRs identified as potentially applicable (2.4.2.2.2) to the subject being assessed for safety shall be 
examined to determine which GESR, if any 

(a) could be fully complied with by conforming to requirements specified in the ASME A1 7.1 /CSA B44 
Code. Such GESRs shall be identified in the documentation (see Section 2.10) with the applicable 
ASME A1 7.1 /CSA B44 requirement number(s); or 

(b) could not be fully complied with by application of ASME A1 7.1 /CSA B44 requirements. 

2.5.2 

Verification of conformance to GESRs, referred to in 2.5.1 (b), shall be carried out in accordance with 
Section 2.6. 



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SECTION 2.6 
IMPLEMENTATION OF GESRs 

2.6.1 

If conformance with applicable GESRs is not self-evident, conformance of an elevator system, sub-system, 
component, or function with applicable GESRs shall be demonstrated through the risk assessment process 
in accordance with Section 2.7. 

2.6.2 

Safety of an elevator system, sub-system, component, or function is achieved when 

(a) all risk scenarios related to the subject of assessment are identified and formulated: 

(b) risk assessment is conducted in accordance with Section 2.7; 

(c) appropriate SPs (see Part 4 and Nonmandatory Appendix B-1) are implemented; and 

(d) this process comes to the conclusion that the requirements of applicable GESRs and applicable SPs 
have been met, i.e., hazards identified in the scenarios have been eliminated or safety risks sufficiently 
mitigated. 

NOTE (2.6): Nonmandatory Appendix A~2 gives comprehensive instructions on implementation of GESRs, with examples 
illustrating the process. Nonmandatory Appendix A-23.2 is relevant to the use and application of GESRs by the elevator 
designer, manufacturer, installer, maintenance, and service organizations. Nonmandatory Appendix A-2. 3. 3 addresses use 
by conformity assessment bodies (AECOs), and Nonmandatory Appendix A-2. 3 A relates to inspection and testing bodies. 

SECTION 2.7 

RISK ASSESSMENT PROCESS 

2.7.1 Risk Assessment Methodologies 

Section 2.7 describes the use of an RA methodology based on ISO 14798, although other methodologies 
for analyzing hazards and estimating risks are equally acceptable. Nonmandatory Appendix C also 
addresses the use of ISO 14798. For users of this ISO methodology, the following is provided in 
Nonmandatory Appendix C: 

(a) Table C-1 - Risk assessment template; 

(b) Tables C-2.1 and C-2.2 - Criteria for estimation of risk elements, i.e., levels of severity and probability; 

(c) Tables C-3.1 and C-3.2 - Risk estimation and evaluation; and 

(d) Table C-4 - Guide for moderators of risk assessment teams. 

2.7.2 Risk Assessment Team 

A substantially balanced team of qualified members who collectively have experience in the design, 
manufacture, installation, maintenance, inspection, and testing of elevators shall be formed to conduct 
the risk assessment. Users of the methodology do not make medical judgments but, rather, evaluate 
events that could lead to levels of severity of harm described in this document. The team shall be led by a 
moderator who is well versed and experienced in elevator technology and in the application of ISO 1 4798 
or equivalent methodologies for analyzing hazards and estimating risks. 

NOTE (2.7.2): Risk assessment made by an individual may not be as comprehensive as that carried out by a team and is 
not an acceptable alternative to the balanced team. 



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2.7.3 Risk Scenario 

Risk scenarios shall be formulated by describing hazardous situations and potential harmful events 
resulting from the causes, effects, and levels of harm. This identifies risks with respect to a specific design 
of an elevator system, sub-system, component, or function, or risks with respect to installation, operation, 
use, maintenance inspection, or testing, or whatever the subject of the risk assessment. 

NOTES (2.7.3): 

(1) For abbreviated examples of formulation of risk scenarios, see Nonmandatory Appendix Table A- 1 . 

(2) For a comprehensive list of, and examples for, elevator-related hazards, hazardous situations, causes, and effects, refer 
to Nonmandatory Appendix Tables D-1 to D-4. 

(3) For a Risk Assessment Template that could be used to formulate risk scenarios, to estimate risk elements, and record 
protective measures, see Nonmandatory Appendix C 

(4) For examples of use of this template, see Nonmandatory Appendix E-2. 

2.7.4 Risk Estimation and Evaluation 

2.7.4.1 Risk Estimation 

2.7.4.1.1 

Based on the formulated risk scenario, elements of risk are estimated by 

(a) the level of severity of effect (or harm), by using Nonmandatory Appendix Table C-2.1 ; and 

(b) the level of probability of the occurrence of that effect or harm, by using Nonmandatory Appendix 
Table C-2.2. 

2.7.4.1.2 

In determining the potential level of harm, the team shall articulate in technical terms potential effects of 
the event on individuals exposed to the hazard (for example, subject to acceleration, KE, shearing, 
crushing, abrasion, etc.). 

2.7.4.1.3 

The results are recorded in the first set of S/P columns in the Nonmandatory Appendix C risk assessment 
template. 

NOTES (2. 7.4, 1): 

(1) For an example of a Risk Assessment Template that could be used to record the estimated risk elements, see columns 
"S" and "P" in Nonmandatory Appendix C. 

(2) For examples of levels of risk elements in this template, see columns "S" and "P" in Nonmandatory Appendix E-2. 

2.7.4.2 Risk Evaluation 

The steps taken to this point [i.e., formulation of the scenario (hazardous situation, cause, and effect) and 
assignment of initial levels of severity and probability] constitute the risk analysis portion of the RA. To 
estimate the level of risk, the combination of estimated levels of severity and probability determined in the 
risk analysis is evaluated against Nonmandatory Appendix Table C-3.1 . The estimated risk will determine 
whether further protective measures shall be taken based on the Risk Groups in which the estimated risk 
level falls as follows: 

(a) Risk Group I requires that further protective measures are necessary to satisfy the GESR and the 
process shall continue in accordance with Section 2.8. 

(b) Risk Group II requires a review to determine if any further protective action is needed, taking into 
account the practicability of the solution and societal value. 

(c) Risk Group III requires no further action. 

NOTE (2.7.4.2): For Risk Croups, see Nonmandatory Appendix Table C-3.2. 

EXAMPLE (2.7.4.2): According to Nonmandatory Table C-3.2, for risk level 2C which falls into Risk Croup I, further 
protective measures would be required. For risk level 3E which falls into Risk Croup III, no further action is required. 



10 



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2.7 A3 Risk Assessment Records 

Results of risk identification (risk scenarios), risk estimation, and evaluation processes, as well as 
designation of protective measures (see Section 2.8), which can include selection of appropriate SPs (see 
Section 2.9) taken to mitigate or eliminate a risk, shall be documented (see Section 2.1 0). 

NOTE (2.7.4.3): Copies of templates in Nonmandatory Appendix C could be used for this purpose. 

SECTION 2.8 

PROTECTIVE MEASURES AND SAFETY PRINCIPLES 

2.8.1 Protective Measures 

Where risk evaluation completed in accordance with 2.7.4.2 concludes that the level of risk requires 
mitigation, protective measures shall be implemented in the following order: 

(a) Eliminate the hazard, where possible, by revisions to the design. 

(b) If the identified hazard cannot be eliminated in accordance with 2.8.1 (a), further measures shall be 
taken to reduce the risk. These measures include: 

(1) re-designing equipment to increase its reliability; 

EXAMPLE [2.8.1(b)(1)]: Measures to increase reliability may include increasing safety factors or introducing redundancy 
and checking redundancy for components prone to failures, such as electromagnetic relays, electronic and software 
components, braking systems, etc. 

(2) reducing the frequency and/or duration of exposure of persons to hazard; 

EXAMPLE [2.8.1 (b)(2)]: 

(1) Reducing frequency of exposure of elevator personnel by the use of equipment or components that require low or no 
maintenance. 

(2) Reducing the frequency of exposure of users to door impact by the use of suitable door reopening devices. 

(3) altering procedures for use, service, cleaning, etc.; 

(4) adding protective or safety devices, to act if an elevator system, sub-system, component, or 
function fails; or 

EXAMPLE [2.8.1(b)(4)]: Protective devices include devices similar to safeties, buffers, emergency brakes, interlocks etc. 

(5) adding guards to separate persons from hazardous equipment or spaces. 

EXAMPLE [2.8. 1(b)(5)]: Hoistway enclosures to separate elevator equipment from areas accessible to the general public; 
covers on rotating or moving parts to protect mechanics from inadvertent contact, etc. 

(c) Eliminate or minimize the probability of defeat or circumvention of protective measures, such as 
guards, safety devices, etc. 

NOTE [2.8.1(c)]: See examples of formulation of protective measures and subsequent estimation of risk elements in the 
second set of "SIP" columns, as well as the comments on residual risk in the last columns, in Nonmandatory Appendix 
TableE-2.4. 

(d) If the identified hazard cannot be mitigated in accordance with 2.8.1 (a), (b) and (c), inform users and 
authorized personnel of residual risks by one or more of the following protective measures: 

(1) information; 

(2) training; 

(3) warning signs; 

(4) use of personal protection equipment, etc. 



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2.8.2 Verification of Safety Implications of the Implemented Protective 
Measures 

When the template in Nonmandatory Appendix Table C-1 is used, unless it is evident that implementation 
of a protective measure cannot create a new hazard, a new risk assessment, in accordance with 2.7.3 and 
2,7.4, shall be conducted. If there is a residual risk that requires further mitigation, there are two 
acceptable methods of documentation: 

(a) create a new case and case number directly under the case that created it Complete the assessment 
until the remaining risks have been sufficiently mitigated; or 

(b) create a new case and case number in the section of the document where the CESR pertaining to the 
new hazard is listed and refer back to the origin of the initial case that generated the new case. 

2.8.3 Safety Principles 

2.8.3.1 

The following principles shall be observed when providing measures for elimination or reduction of risks 
on elevators. 

2.o.«5.2 

When the system is operating, there shall be no risk of the level equivalent to those categorized in 
Nonmandatory Appendix Table C-3.2 as "Risk Croup I". In the case of a risk of the level equivalent to 
those identified as "Risk Croup II", a review shall be carried out to determine if any further protective 
measure is required. In the case of a risk of the level equivalent to those identified as "Risk Group III", no 
further action is required. 

2!.o»v>.v> 

System design shall require positive action(s) to be taken in a prescribed manner to either begin or 
continue system operation. 

2.8.3.4 

System safety in the normal automatic operating mode shall not depend on correct actions or procedures 
used by operating personnel. 

2.0.3.S 

Maintenance, including periodic inspections and testing activities required to preserve or achieve risk 
levels, shall be identified. 

SECTION 2.9 
APPLICATION OF SPs 

2.9.1 

The determination that a risk has been sufficiently mitigated will sometimes require that specific safety 
parameter values be achieved (such as reliability, strength, durability, clearances, acceleration or 
retardation values). Safety parameter values are provided in Nonmandatory Appendix B, and their 
application is described in Part 4. 

2.9.2 

Where measures different from the SPs or SP values in Nonmandatory Appendix B-l are used, the RA shall 
demonstrate that the risk(s) identified in the CESR has been sufficiently mitigated to safety levels 
equivalent to those that would be obtained using the safety parameters in Nonmandatory Appendix B. 



12 March 2007 



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SECTION 2.10 

CODE COMPLIANCE DOCUMENTATION 

2.10.1 

A CCD shall be produced for each design of an elevator system, sub-system, component, or function for 
which safety has been assessed for conformance with this Code. 

2.10.2 

The CCD shall include the following: 

(a) an overall description of the equipment; 

(b) a description of a particular elevator system, sub-system, component, or function to which this Code 
is being applied; 

(c) a list of ASME A1 7.1 /CSA B44 Parts, Sections, or requirements that have been addressed by 
compliance with ASME A1 7.7/CSA B44.7; 

(d) the technical documentation necessary to demonstrate conformity and enable verification of 
conformance; 

(e) a list of GESRs considered in accordance with Section 2,5; 

(f) the risk assessment report, including team members, their relevant expertise and experience, and 
date of completion of the risk assessment processes (see Sections 2.3 through 2.7); 

(g) procedures for acceptance inspections and tests to verify conformance with the CCD; and 

(h) procedures for tests, periodic inspections, maintenance, replacements, adjustments, and repairs to be 
incorporated into and made a part of the MCP required by ASME A1 7.1 /CSA B44, requirement 
8.6.1.2.1. 

SECTION2.il 
CODE DATA PLATE 

2.11.1 

A Code Data Plate complying with ASME A1 7.1 /CSA B44, Section 8.9, shall be provided. 

2.11.2 

The Code Data Plate shall include the following statement: "This elevator complies with ASME A1 7.7/CSA 
B44.7. See Maintenance Control Program." 

NOTE (2. 1 1.2): See also Mandatory Appendix 1-6 for marking of elevator systems, sub-systems, and components. 

SECTION 2.12 

ADDITIONAL REQUIREMENTS 

2.12.1 

Design and installation shall comply with the CCD (2.1 0) and applicable requirements of ASME 
A17.1/CSAB44, Section 8.1. 

2.12.2 

Alterations, maintenance, repair, and replacement shall comply with the CCD (2.1 0) and applicable 
requirements of ASME A1 7.1 /CSA B44, Sections 8.6 and 8.7. The list of applicable ASME A1 7.1 /CSA B44 
requirements that have been addressed by compliance with ASME A1 7.7/CSA B44.7 shall be incorporated 
into and made a part of the MCP required by ASME A1 7.1 /CSA B44, requirement 8.6.1 .2.1 . 



March 2007 13 



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2.12.3 

Acceptance and periodic inspections and tests shall comply with the CCD (2.10) and applicable 
requirements of ASME A1 7.1 /CSA B44, Sections 8.1 and 8.1 1 . Procedure for tests, periodic inspections, 
maintenance, replacements, adjustments, and repairs shall be incorporated into and made a part of the 
MCP required by ASME A1 7.1 /CSA B44, requirement 8.6.1 .2.1 . 



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PART 3 
GLOBAL ESSENTIAL SAFETY REQUIREMENTS (GESRs) FOR 

ELEVATORS 

Elevators shall comply with the applicable safety requirements specified in this Part. 

NOTES (3): 

(1) The GESRs and the process of their development and use have been derived from ISO/TS 22559- 1 . Adaptations have 
been made for North American terminology. Additionally ISO/TS 22559-1 has been modified to cover the scope of this 
Code. 

(2) The essential safety requirements are grouped in this Part on the basis of locations where a person could be exposed to 
a hazard, hazardous situation, or harmful event. These locations include the space adjacent to the elevator (see 3.2), 
entrance and egress areas (3.3), space inside the LCU (car) (3.4) and working areas (3.5). The common requirements, 
which are applicable to more than one location, are listed in 3.1 . 

(3) Nonmandatory Appendix AS is provided to give an overview of the GESRs that are potentially applicable to the 
elevator sub-systems. 

SECTION 3.1 

COMMON GESRs RELATED TO PERSONS AT DIFFERENT LOCATIONS 

3*1.1 Supports for Elevator Equipment 

The means used to support the elevator equipment shall be capable of sustaining all loads and forces 
(including impact forces) imposed during normal and emergency operation. 

NOTE (3.1.1): The forces referred to in 3.1.1 are those that result from the intended use, and reasonably foreseeable 
overload, of the elevator during normal operation (loading, unloading, acceleration, braking, etc.) and emergency operation 
(safety operation, buffer impact, etc). 

3.1.2 Elevator Maintenance 

Where maintenance is required to ensure continued safety, appropriate instructions shall be provided, and 
elevator personnel shall perform any required work. 

NOTE (3. 1.2): This applies to the elevator system, sub-system, component, or function that is subject to wear and tear, not 
to those designed for maintenance-free operation. Adequate maintenance is a key element in keeping the elevator in safe 
operating condition. The objective of this GESR is to require that only elevator personnel perform maintenance work. 

3.1.3 Equipment Inaccessible to Users and Non-Users 

Equipment that is hazardous shall not be directly accessible to users and non-users. 

NOTE (3.1 .3): Locations that are not accessible include equipment behind an enclosure, a locked cover or door, or in an 
out-of -reach location. 

3.1.4 Floors of the LCU (Car) and Working Areas 

The floors of the LCU (car) and standing areas of workplaces shall minimize the risk of tripping and 
slipping. 

NOTE (3.1.4): LCD (car) and working area floors should be reasonably level, which means that they do not present a 
perceptible slope. When considering non-slip materials, attention should be paid to the fact that the roughness of a material 
does not remain consistent over time and can vary depending on housekeeping operations (e.g., cleaning). 



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3.1.5 Hazards Due to Relative Movement 

Users and non-users shall be protected from the effects of shearing, crushing or abrasion, or other injuries 
due to 

(a) relative movement of the LCU (car) and external objects; and 

(b) relative movement of the elevator equipment. 

NOTES (3.1.5): 

(1) For elevator personnel, see 3.5. 9. 

(2) This CESR addresses the safety of persons located inside and outside the LCU (car). 

3.1.6 Locking Landing Doors and Closing LCU (Car) Doors 

Any movement of the LCU (car) that is hazardous to persons shall be stopped if any hoistway door is open 
or unlocked or the LCU (car) door is not closed. 

NOTES (3.1.6): 

(1) Hoistway and car doors, including auxiliary doors or covers intended for use by elevator personnel only (e.g. evacuation 
doors), must be considered. 

(2) Leveling, re-leveling (as well as truck load operation), and hoistway access operation are not considered to be 
hazardous movements. 

3.1.7 Evacuation 

Means and procedures shall be provided to enable trapped users or elevator personnel to be safely 
released and evacuated. 

NOTE (3. 1.7): The elevator system should have means that would permit the movement of the LCU (car), under control of 
elevator personnel, to the point of an evacuation opening. Alternative means that do not require movement of the LCU (car) 
are not excluded. Extreme cases of LCU (car) blockage (due to safety setting, material damaged due to earthquakes, etc.) 
can require external means, appropriate instructions, and tooling. 

3.1.8 Sharp Edges 

Means shall be provided to sufficiently mitigate the risk to users and non-users of exposure to sharp edges. 

NOTE (3.1.8): For elevator personnel, see 3,5. 

3.1.9 Hazards Arising from the Risk of Electrical Shock 

Where electricity is provided, means shall be provided to sufficiently mitigate the risk to users and 
non-users of exposure to electrical shock and related hazards. 

NOTES (3.1.9): 

(1) CSA BAA. 1/ASME A 1 7.5, ANSI/NFPA 70, and/or CSA C22. 1 embody the fundamental principles of protection for safety 
that encompass protection against electric shock, protection against thermal effects, protection against overcurrent, 
protection against fault current, and protection against over-voltage. See also Section 131 of I EC 6036A-1. 

(2) For elevator personnel, see 3,5. 

3.1.10 Electromagnetic Compatibility 

The safe operation of an elevator shall not be influenced by electromagnetic interferences. 

NOTE (3.1 .1 0): The immunity should be sufficient to prevent unsafe situations if the elevator is submitted to foreseeable 
radiation. "Immunity" includes immunity to internal influences (self-generated radiation) and immunity to external 
influences. 



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3.1.11 Illumination of LCU (Car) and Landings 

The LCU (car) and landings shall be provided with adequate illumination during use. 

NOTE (3.1.1 1): "Adequate illumination" means that the level of light is sufficient for safe access and operation of the 
elevator control devices, including the following: 

(a) detecting leveling inaccuracy; 

(b) operating landing and LCU (car) controls; and 

(c) mitigating user's panic in the case of power outage. 

3.1.12 Effects of Earthquake 

In areas subject to earthquake, means shall be provided to minimize the risk to users, when inside the LCU 
(car), and elevator personnel of the foreseeable effects of earthquakes on the elevator equipment. 

NOTE (3. 1.12): The effects on the safety of users and elevator personnel need to be considered at all stages: during the 
earthquake (as much as possible), during rescue from a stalled LCU (car), and when the elevator is returned to normal 
operation. This assumes that there is no major building failure. 

3.1.13 Hazardous Materials 

The characteristics and quantity of material used for the manufacture and construction of the elevator shall 
not lead to hazardous situations. 

NOTE (3.1.13): Hazardous situations for users, non-users, and elevator personnel refer to toxicity, fumes, exposure to 
chemicals, fiammability, exposure to asbestos, etc. 

3.1.14 Environmental Influences 

Users and elevator personnel shall be protected from environmental influences. 

NOTE (3.1.14): Environmental influences include the foreseeable weather conditions of the area where the elevator is 
installed. Users and elevator personnel should be protected against direct exposure to the influences (e.g., by heating or 
cooling the LCU (car) or working space). The safety of users, elevator personnel, and emergency personnel should be 
considered in the event of a fire. In addition, there should be adequate protection of safety-related elevator elements that are 
susceptible to weather conditions. 

SECTION 3.2 

GESRS RELATED TO PERSONS ADJACENT TO THE ELEVATOR — FALLING 

INTO HOISTWAY 

Means shall be provided to prevent the risk of users, non-users, and elevator personnel falling into the 
hoistway. 

NOTES (3.2): 

(1) This CESR addresses the risk of failing into the hoistway from 

(a) surrounding floors; and 

(b) landing doors when the LCU (car) is absent. 

(2) This CESR also applies to emergency personnel. 



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SECTION 3.3 

GESRS RELATED TO PERSONS AT THE ELEVATOR ENTRANCE 

3.3.1 Access and Egress 

Safe means of access and egress shall be provided to the LCU (car) at landings. 

NOTE (3.3. 1): This is applicable to the process of entering and leaving the LCU (car) during normal use and during 
Firefighters' Emergency Operations of the elevator It suggests that adequate spaces, dimensions, operational instructions 
and correct relative positioning of the LCU (car) at the landing should be provided. 

3.3.2 Horizontal Sill-to-Sill Gap 

The horizontal gap between the sill of the LCU (car) and that of the landings shall be limited. 

NOTE (3.3.2): The measurement is taken in the direction of motion of users traversing the sill. Children who are able to walk 
should be considered. The sizes of wheelchair wheels and walking aids should also be taken into account. 

3.3.3 Alignment of LCU (Car) and Landing 

When users enter or exit the LCU (car), its platform and landing floor shall be substantially aligned. 

NOTE (3.3.3): The step caused by the variation of the LCU (car) load should be limited to avoid stumbling on the part of 
users; the step should be small enough to allow safe access for all users, including persons with impaired mobility. 

33 A Self -Evacuation from an LCU (Car) 

Self-evacuation of users shall be possible only when the LCU (car) is at or near a landing. 

NOTE (3.3.4): "Near a landing" means that the LCU (car) is not too far away from the landing and that the risk of tripping 
or falling is minimal. Furthermore, any gaps between the LCU (car) entrance opening, when the LCU (car) entrance is 
opened manually by users attempting self-evacuation, and the hoistway enclosure or the landing entrance, which faces the 
opened LCU (car) entrance, should be as small as possible to prevent users from passing through the gaps and from falling 
into the hoistway. 

3.3.5 Gap between the Landing Doors and LCU (Car) Doors 

The space between the landing doors and LCU (car) doors shall not allow the presence of users. 

NOTE (3.3.5): This GESR aims to prevent persons, including children, from entering into the space between the LCU (car) 
and landing doors. The following are examples where this situation can arise: 

(a) multiple panels on the LCU (car) and landing doors, with loose synchronization; or 

(b) combinations of swing landing doors and sliding LCU (car) doors. 

3.3.6 Means to Reopen Doors when LCU (Car) is at Landing 

Means shall be provided to reopen the LCU (car) and landing doors if their closing is obstructed when the 
LCU (car) is at the landing. 

NOTE (3.3.6): Obstacles interfering with door movement should be detected. The movement of the doors and the LCU (car) 
should be prevented until the obstacle is removed or door closing speed and force is limited. Examples of obstacles are parts 
of a user's body, trolleys, wheelchairs, etc. 



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© American Society of Mechanical Engineers, Inc Performance-based safety code for elevators and escalators 

SECTION 3.4 

GESRS RELATED TO PERSONS IN THE LCU (CAR) 

3.4.1 Strength and Size 

The LCU (car) shall accommodate and support the rated load and a reasonably foreseeable overload. 

NOTE (3.4. 1): This CESR is primarily addressing transportation of people. "Accommodate" in this context means to provide 
space (volume) for the intended number of users, considering the dimension and weight of persons. The foreseeable 
overload, in terms of users, means: 

(a) the load normally carried by users (e.g., briefcase, luggage, but without tools such as trolleys); 

(b) the possibility of users taller or heavier than average; and 

(c) the possibility of more users than the LCU (car) is designed for. 

3.4.2 LCU (Car) Support/Suspension 

Means shall be provided to support the fully loaded LCU (car) and a reasonably foreseeable overload. 

NOTE (3.4.2): This addresses the strength and failure of the suspension means, when the LCU (car) is loaded with its rated 
load. It is, however, understood that the integrity of the elevator would be maintained if the foreseeable overload condition 
were reached. The rated performances, however, can be affected if the rated load is exceeded. 

3.4.3 Overloaded LCU (Car) 

Means shall be provided to prevent an overloaded LCU (car) from attempting to leave a landing. 

NOTE (3.4.3): In this context "to prevent from attempting to leave a landing" means that the drive system (motor 
controller) of the hoisting machine will not be activated. When the overload condition is detected, no command will be 
processed. This does not cover rope stretch, loss of traction, etc. It is, however, understood that the integrity of the elevator 
would be maintained if the foreseeable overload condition were reached. 

3.4.4 Falling from an LCU (Car) 

Means shall be provided to prevent users from falling from the LCU (car). 

NOTE (3.4.4): Compliance with this CESR can be achieved by guards, barriers, or walls around the perimeter of the LCU 
(car) platform. Protection at any opening between the LCU (car) and the hoistway walls that a user could pass through is 
also required by this CESR. A typical opening is the gap between the edges of the LCU (car) and the landing door panels. 

3.4.5 LCU (Car) Travel Path Limits 

The vertical travel of the LCU (car) shall be limited to prevent the LCU (car) from uncontrolled running 
beyond the travel path. 

NOTE (3.4.5): Means should be provided for safe stopping of the LCU (car) at the end of the travel path. Safe stopping 
involves no damage to the equipment and no harm to passengers in the LCU (car). The "end of travel path" includes a 
certain overrun from the terminal landing position. 

3.4.6 Uncontrolled, Unintended Movement of an LCU (Car) 

Means shall be provided to limit uncontrolled or unintended movement of the LCU (car). 

NOTE (3.4.6): This CESR aims to protect against the effects resulting from the movement of the LCU (car) at a speed 
exceeding the designed speed and also to prevent effects resulting from unexpected starts of LCU (car) movement. Examples 
of such occurrences are: travel of the LCU (car) towards terminal landings at a speed exceeding its rated speed, or movement 
of the LCU (car) away from a landing when doors are open and users are entering or exiting. An example of the foreseeable 
failures that can cause such occurrences is the breakdown in elevator components such as speed control, driving machine, or 
braking system. Such failures could occur as a result of mechanical or electrical control malfunctions. 



March 2007 19 

r Copyright © 2007 by the American Society of Mechanical Engineers. $%& j 

No reproduction may be made of this material without written consent of ASME. ^HD* I 



© Canadian Standards Association 
ASME A 1 7. 7 -2007 /CS A B44.7-07 © American Society of Mechanical Engineers, Inc. 

3.4.7 LCU (Car) Collision with Objects in or beyond Travel Path 

Means shall be provided to avoid collision of the LCU (car) with any equipment in the travel path that 
could cause injuries to users. 

NOTE (3.4.7): Means should be provided to prevent the LCU (car) from colliding with any equipment in the hoistway. There 
should be LCU (car) guards or enclosures of adequate strength to avoid dangerous deflection due to horizontal forces. 
Deflection and deformation of the guards or enclosure should be limited so that they do not create a hazardous situation. 
This CESR also addresses cases where the LCU (car) or counterweight reaches the structural terminals of the hoistway. 
Eventual impact should be buffered so that it is not harmful. 

3.4.8 LCU (Car) Horizontal and Rotational Motion 

Horizontal or rotational motion of the LCU (car) shall be limited to sufficiently mitigate the risk of injury to 
users and elevator personnel. 

NOTE (3.4.8): Horizontal and rotational free movement of the LCU (car) is to be limited to prevent users from losing 
balance and falling. 

3.4.9 Change of Speed or Acceleration 

Means shall be provided to ensure that any change of speed or acceleration of the LCU (car) shall be 
limited to minimize the risk of injury to the users. 

NOTE (3.4.9): This covers changes of speed and acceleration of the LCU (car) for both normal and emergency operations. In 
the case of an extreme emergency [such as stopping a free-falling LCU (car)], the possibility of minor injuries could be 
tolerated, due to the extremely remote probability of such an occurrence. 

3.4.10 Objects Falling on the LCU (Car) 

LCU (car) users shall be protected from falling objects. 

NOTE (3.4.1 0): Falling objects are those that can be reasonably expected as a result of misbehavior, carrying tools, or 
similar activities. Open hoistway installations can also be subject to acts of vandalism (objects thrown from outside). Falling 
water is not addressed by this CESR. 

3.4.11 LCU (Car) Ventilation 

Adequate ventilation shall be provided to the LCU (car). 

NOTE (3.4 A 1): The intent of this CESR is to provide trapped passengers with sufficient air renewal. It is accepted that 
normal operation does not require particular measures due to the air exchange from door movement and the fact that 
journeys are relatively short 

3.4.12 Fire/Smoke in LCU (Car) 

The interior of the LCU (car) shall be constructed of materials that are fire-resistant and that develop a low 
level of smoke. 

NOTE (3.4.12): The nature and quantity of the materials used in the LCU (car) (e.g., decorations) can be a serious source of 
harm during a fire. Factors that need to be considered include fire resistance, toxicity, etc., of materials. It is, however, 
understood that parts made of materials that do not strictly meet this specification may be used in small quantities inside the 
LCU (car) (e.g., control buttons and lighting diff users). 

3.4.13 LCU (Car) in Flooded Areas 

Where there is a risk that the LCU (car) will descend into a flooded area, means shall be provided to detect 
and prevent descent into a flooded area. 



20 March 2007 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc Performance-based safety code for elevators and escalators 

3.4.14 Stopping Means Inside the LCU (Car) 

Means located inside the LCU (car) of intentionally interrupting the movement of the LCU (car) by the 
user shall be allowed only, if necessary, on elevators with a partially enclosed LCU (car) or elevators for 
special applications. 

NOTE (3,4.14): An example of an elevator for special application is a freight elevator with truck-zone operation. 

3.4. IS Landing Indication 

Means shall be provided to identify landings for the users in the LCU (car). 

NOTE (3.4.15): Ignorance of one's location can create confusion and unpredictable reactions. In normal conditions, this is 
probably not a safety issue but it can be significant in emergencies (firefighting, etc.). 

SECTION 3.5 

GESRS RELATED TO PERSONS IN WORKING AREAS 

3.5.1 Working Space 

Adequate and safe working space shall be provided. 

NOTE (3.5. 1): "Adequate" takes into account the ergonomics principles related to the tasks to be performed. 

3.5.2 Accessible Equipment 

All elevator equipment requiring maintenance shall be safely accessible to elevator personnel. 

NOTE (3.5.2): If elevator elements requiring maintenance are not accessible, they can be neglected, which would render use 
of the installation unsafe. Elements of the elevator should be designed taking this into account. "Safely" indicates safe and 
easy access for maintenance operations. 

3.5.3 Access to and Egress from Working Spaces in the Hoistway 

Access to and egress from working spaces in or beyond the travel path shall be safe. 

NOTE (3.5. 3): Egress from any working space should always be possible, regardless of the position of the LCU (car). Working 
spaces include the LCU (car) roof. 

3.5.4 Strength of Working Areas 

Means shall be provided to accommodate and support the weight of elevator personnel and associated 
equipment in any designated working area. 

NOTE (3.5.4): The number of elevator personnel and the equipment that they carry or use to fulfil the anticipated working 
activities should be determined. Those activities do not include major repairs when the working area needs to be enlarged 
and reinforced. 

3.5.5 Restrictions on Equipment in Elevator Spaces 

Only equipment related to the elevator installation or its protection shall be placed in the space containing 
the elevator equipment. 

NOTE (3.5.5): The intent is to exclude non -elevator personnel (and personnel not acquainted with the dangers of elevator 
operation) from access to spaces needed for the location of the elevator equipment (the machine room, machine space, 
control room, control space, and hoistway) and to prevent the use of these spaces for storage. 



March 2007 21 

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Copyright © 2007 by the American Society of Mechanical Engineers. 
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© Canadian Standards Association 
ASMEA17.7-2007/CSA B44J-07 €> American Society of Mechanical Engineers, Inc. 

3.5.6 Falling from Working Areas 

Means shall be provided to sufficiently mitigate the risk to elevator personnel of falling from any working 
area. 

NOTES (3.5.6): 

(1) Working places in the hoistway, such as the LCU (car) roof, temporary platforms, etc., should be equipped with 
protective devices (e.g., a standard railing), if there is a risk of falling (e.g., a gap between the LCU (car) roof and the 
hoistway wall). 

(2) The means of prevention (e.g., standard railing) should have sufficient height and strength. 

3.5.7 LCU (Car) Movement under Control of Elevator Personnel 

Only elevator personnel shall be provided with means to prevent or to enable the movement of the LCU 
(car) when they are in the travel path. When elevator personnel are within reach of unprotected moving 
parts of the elevator, they shall be able to prevent or activate movement of the elevator equipment. 

NOTE (3.5.7): "Equipment" includes all possible moving parts, such as the LCU (car), counterweight, etc. 

3.5.8 Uncontrolled, Unintended Equipment Movement Inside the 
Hoistway 

Means shall be provided to protect elevator personnel from the effects related to uncontrolled or 
unintended movement of equipment inside the hoistway. Any acceleration or deceleration to which 
elevator personnel are subjected as a result of uncontrolled or unintended movement shall be limited to 
sufficiently mitigate the risk of harm. 

NOTE (3.5.8): If the contact can be harmful, elevator personnel should be provided with means to mitigate such hazards, 
such as controls over equipment movement or permanently available screens that separate the moving parts from the 
working area so as to guard against accidental contact "Equipment" includes all possible moving parts, such as the LCU 
(car), counterweight, etc 

3.5.9 Means of Protection from Various Hazards 

Means shall be provided to adequately protect elevator personnel in working spaces from the effects of 
shearing, crushing, abrasion, laceration, high temperature, or entrapment. 

3.5.10 Falling Objects in the Hoistway 

While in the hoistway, elevator personnel shall be adequately protected from falling objects. 

NOTE (3.5. 1 0): Objects, e.g., handheld tools, loose material, etc., can fall because of an accidental reaction on the part of 
a person. 

3.5.11 Electric Shock in Working Spaces 

Equipment shall be designed and installed to minimize harm to elevator personnel due to the effects of 
electricity. 

NOTE (3.5. 1 1): Elevator service sometimes requires that elevator personnel access live parts of electrical equipment See 
also 3.1.9. 

3.5.12 Illumination of Working Spaces 

All working spaces and access thereto shall be provided with adequate illumination for the use of elevator 
personnel. 

NOTE (3.5. 12): Adequate illumination means that the level of light is sufficient for safe access and for performance of any 
maintenance operation of the elevator equipment. Illumination may be switched off in the absence of elevator personnel. 



22 



March 2007 



?:f Copyright © 2007 by the American Society of Mechanical Engineers. H3Cb ] ; 

A No reproduction may be made of this material without written consent of ASM'E. tIlr Jy 



€> Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

PART 4 
SAFETY PARAMETERS 

4.1 Introduction 

4.1.1 

According to 2.1 .23, a CESR states only the safety objective, or "what" shall be done or accomplished, 
but not "how" to accomplish the objective. Therefore, to achieve the safety objective of a GESR, elevator 
components (such as car safeties activated by governors, buffers, and unintended car movement 
detection, speed monitoring, door interlock, motion-control system, and electric protective devices) and 
functions (such as door monitoring, hospital service, and firefighters' emergency operation) shall be 
selected and verified for their conformance with the GESR. The capability of selected components and 
functions to eliminate or sufficiently mitigate risks shall then be demonstrated. 

4.1.2 

According to 2.9, determination that a risk has been sufficiently mitigated, i.e., that the applicable GESR 
has been fulfilled, will sometimes require that specific safety parameter values be achieved (such as 
reliability, strength, durability, clearances, and/or acceleration or retardation values). Requirements for 
provision of specific components, functions, and safety parameters on an elevator are usually specified in 
"prescriptive" type standards such as ASME A1 7.1 /CSA B44. This performance-based Code does not 
mandate the use and implementation of any specific components, functions, or SPs because it would 
inhibit safe innovative designs and the implementation of new technology. 

4.2 Components, Functions, and SPs 

4.2.1 

No prescriptive requirements for, or examples of, components or functions are stated in this Code. 
However, examples of safety parameters that could be applicable to the components and functions, such 
as limits of retardation, tripping speed, kinetic energy, loading, strength, or dimensional limits, are listed in 
Nonmandatory Appendix Table B-1 . The SPs in Nonmandatory Appendix Table B-1 have been extracted 
from several codes and standards, including ASME A1 7.1 /CSA B44. 

4.2.2 

The list of SPs in Nonmandatory Appendix Table B-1 is not comprehensive. Listed SPs shall not be 
interpreted as the only measure of conformity with a GESR. Conformance with a GESR shall be permitted 
to be achieved by deviating from the listed SPs, provided that the risk is mitigated using other equally 
effective protective measures. Parameters consistent with good engineering practices or selected from 
applicable codes or standards shall be permitted. In all cases it is necessary to demonstrate that 

(a) the type of parameters chosen will sufficiently mitigate the risk addressed in the GESR; and 

(b) any new hazard created by implementation of the parameter(s) shall be sufficiently mitigated. 

4.2.3 

SPs in Nonmandatory Appendix Table B-1 address only safety hazards in related GESRs. The parameters 
given for a GESR will not necessarily mitigate all hazards relevant to a specific elevator system, sub-system, 
component, or function. However, those hazards will be addressed in another GESR (see 2.4). 

4.2.4 

GESRs shall be permitted to be fulfilled by providing EPDs as required by ASME A1 7.1 /CSA B44. If the 
control system employs PES, SILs as given in Nonmandatory Appendix Table A-1 shall be permitted to be 
used to fulfill the GESRs. 



March 2007 23 



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Copyright © 2007 by the American Society of Mechanical Engineers, 
reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 
ASME A 1 7. 7-200 7/CSA B44. 7-07 © American Society of Mechanical Engineers, Inc. 

4.2.5 

Nonmandatory Appendix Table B-2 contains a summary of anthropometric data that shall be permitted to 
be used where specific dimensions are necessary. To mitigate a certain hazard, it \s necessary to consider 
the type of persons (adult or child) or person's body part dimensions (such as body, limb, foot, head, or 
finger) that shall be protected from a hazard. The data shall also be permitted to be used for establishing 
clearances necessary to pass through an obstruction or to perform work. 

4.3 General 

4.3.1 

This Code allows the use of designs of components and functions different from those described and 
specified in ASME A1 7.1/CSA B44, such as use of car free-fall and car over-speed protective devices that 
are different from "car safeties and speed-governor assemblies", provided that the installed components 
and functions meet the GESRs. 

4.3.2 

According to Part 2, the fundamental measure of safety of an elevator is its full conformance with 
applicable GESRs. The designers or manufacturers shall demonstrate that selected protective measures, in 
the form of selected components, functions, and safety parameters, assure full conformance of the 
elevator with applicable GESRs. 



24 March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



PARTS 
REFERENCE CODES AND STANDARDS 

This Part covers the codes, standards, and specifications referenced in this Code and the specific editions 
that are applicable. This Part also lists the names and addresses of the organizations from which these 
documents can be procured. Only that portion of the code, standard, or specification as specified by the 
requirements in this Code is applicable. 

SECTION 5.1 REFERENCE DOCUMENTS 



Designation 



Standard 



Procurement 



16CFRPart1201-86 

ADAAG 

AN SI/AC I 
318-02/R318-02 

ANSI A1 0.4 (latest 
edition) 

ANSI A1 0.5 (latest 
edition) 

ANSI A92 (latest edition) 

ANSI A1 264.2 -2001 



ANSI/Vol. Prod. Std. 
PS-1-74 

ASCE 7-02 

ASMEA17.1/CSAB44 
(latest edition) 

ASMEA1 7.7.1/ 
CSAB44.7.1 (under 
development) 

ASMEA18.1 (latest 
edition) 

ASMEA90.1 (latest 
edition) 

ASMEA120.1 (latest 
edition) 

ASME B20.1 (latest 
edition) 

ASME B30 (latest edition) 



ASME B56 (latest edition) 
ASTM A27/A27M-03 



Architectural Glazing Standards and Related Materials 
Americans with Disabilities Act Accessibility Guidelines 
Building Gode Requirements for Structural Concrete and Commentary 

Safety Requirements for Personnel Hoists 

Safety Requirements for Material Hoists 



Mobile Scaffolds, Towers, and Platforms 

Standard for the Provision of Slip Resistance on Walking-Working 
Surfaces 

Construction and industrial Plywood 



Minimum Design Loads for Building and Other Structures 
Safety Code for Elevators and Escalators 



General Requirements for Accredited Elevator/Escalator Certification 
Organizations, Guidance for ISO/IEC Guide 65:1 996 



Safety Standard for Platform Lifts and Stairway Chairlifts 



Safety Standard for Man lifts 



USGPO 
US ATBCB 
AC I 

ANSI 

ANSI 

SIA 
ANSI 

APA 

ASCE 

ASME and CSA 

ASME and CSA 

ASME 
ASME 



Safety Requirements for Powered Platforms for Building Maintenance ASME 

Safety Standard for Conveyors and Related Equipment ASME 

Safety Standards for Cableways, Cranes, Derricks, Hoists, Hooks, Jacks ASME 
and Slings 

Powered and Nonpowered Industrial Trucks ASME 

Standard Specification for Steel Castings, Carbon, for General ASTM 
Application 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. (e&sl 

No reproduction may be made of this xnaterial without written consent of ASME. Tsys 



): 



25 



ASME AU J -2007 /CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Designation 



Standard 



Procurement 



ASTM A36/A36M-04 
ASTM A283/A283M-03 

ASTM A307-04 

ASTM A502-03 

ASTM A668/A668M-04 

ASTM E8-04 
ASTM E84-04 

ASTM E648-03 

CAN/CGSB-12.1-M90 

C40.20-04/G40.21-04 

CAN/CSA-S16-01 

A23.3-04 

ASME A1 7.1 /CSAB44-07 

CAN/CSA-B44.1/ 
ASME A1 7.5-04 

ASME A1 7.7.1/ 
CSAB44.7.1 (under 
development) 

CAN/CSA-B1 67-96 
(R2002) 

CAN/CSA-B311-02 

B335-04 

CAN/CSA-B354.1-04 

CAN/CSA-B355-O0 
(R2005) 

CAN/CSA-B61 3-00 
(R2005) 

C22.1-06 

CSAC22.2No. 141-02 
0151-04 



Standard Specification for Carbon Structural Steel ASTM 

Standard Specification for Low and Intermediate Tensile Strength ASTM 
Carbon Steel Plates 

Standard Specification for Carbon Steel Bolts and Studs, 60 000 PSI ASTM 
Tensile Strength 

Standard Specification for Rivets, Steel, Structural ASTM 

Standard Specification for Steel Forgings, Carbon and Alloy, for General ASTM 
Industrial Use 

Standard Test Methods for Tension Testing of Metallic Materials ASTM 

Standard Test Method for Surface Burning Characteristics of Building ASTM 
Materials 

Standard Test Method for Critical Radiant Flux of Floor Covering ASTM 
Systems using a Radiant Heat Energy Source 

Safety Glass, Toughened Glass, Laminates, Doors, Classification Systems, CGSB 
Specifications, Impact Testing, Test Equipment 

General Requirements for Rolled or Welded Structural Quality CSA 
Steel/Structural Quality Steel 

Limit States Design of Steel Structures CSA 

Design of Concrete Structures CSA 

Safety Code for Elevators and Escalators ASME and CSA 

Elevator and Escalator Electrical Equipment ASME and CSA 



General Requirements for Accredited Elevator/Escalator Certification ASME and CSA 
Organizations, Guidance for ISO/IEC Guide 65:1 996 

Safety Standard for Maintenance and Inspection of Overhead Cranes, CSA 
Gantry Cranes, Monorails, Hoists and Trolleys 

Safety CodeforManlifts CSA 

Safety Standard for Lift Trucks CSA 

Portable Elevating Work Platforms CSA 

Lifts for Persons with Physical Disabilities CSA 

Private Residence Lifts for Persons with Physical Disabilities CSA 

Canadian Electrical Code, Part I (20th Edition), Safety Standard for CSA 
Electrical Installations 

Unit Equipment for Emergency Lighting CSA 

Canadian Softwood Plywood CSA 



26 



C 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



March 2007 



> Canadian Standards Association 

> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Designation 



Standard 



Procurement 



CAN/CSA-Z1 50-98 
(R2004) 

CAN/CSA-Z185-M87 
(R2006) 

CAN/CSA-Z248-04 

CAN/CSA-Z256-M87 
(R2006) 

CAN/CSA-Z271-98 
(R2004) 

EN 12016: 1998 



ICC/ANSI A1 17.1 -2003 
IEC 60364-1:2001 

IEC 61508-5:1998 

ISO 2860:1 992 
ISO 7250:1996 
ISO 11228-1:2003 
ISO 13852:1996 
ISO 13854:1996 
ISO 14121:1999 
ISO 14798: 2005 
ISO 15534-1:2000 

ISO 15534-2:2000 
ISO 15534-3:2000 
ISO 3411:1995 



Safety Code on Mobile Cranes 
Safety Code for Personnel Hoists 

Code for Tower Cranes 
Safety Code for Material Hoists 

Safety Code for Suspended Elevating Platforms 

Electromagnetic Compatibility-Product Family Standard for Lifts, 
Escalators and Passenger Conveyors Immunity 

Humanscale Manual 

Accessible and Usable Building and Facilities 

Low-voltage electrical installations 

Functional safety of electrical/electronic/programmable electronic 
safety-related systems - Part 5: Examples of methods for the 
determination of safety integrity levels 

Earth moving machinery - Minimum access dimensions 
Basic human body measurements for technological design 
Ergonomics - Manual Handling - Part 1 : Lifting and Carrying 



Safety of machinery. Safety distances to prevent danger zones being 
reached by the upper limits (EN 284) 

Safety of machinery. Minimum gaps to avoid crushing of parts of the 
human body (EN 349) 

Safety of machinery - Principles of risk assessment 



Lifts, escalators and moving walks - Risk assessment and risk reduction 
methodology 

Ergonomic design for the safety of machinery - Part 1 : Principles for 
determining the dimensions required for opening for whole-body access 
into machinery 

Ergonomic design for the safety of machinery - Part 2: Principles for 
determining the dimensions required for access openings 

Ergonomic design for the safety of machinery - Part 3: Anthropometric 
data 

Earth moving machinery - Human physical dimensions of operators and 
minimum operating space 



CSA 
CSA 

CSA 
CSA 

CSA 

ANSI 



MIT Press 


ICC 




ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


see 


in Canada 


ANSI 


in US 


SCCi 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


SCCi 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 


ANSI 


in US 


sec 


in Canada 



March 2007 



27 



G 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



«) 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Designation 



Standard 



Procurement 



ISO/IEC Guide 51 :1 999 Safety aspects - Guidelines for their inclusion in standards 



ISO/IEC 17000:2004 

ISO/TS 22559-1:2004 

NFPA 70 -2005 
NFPA 255 -2000 
AS/NZS 4586-2004 
UL 723-2003 
US Army 

USMILSTD-882C 
ZHA-Guide(1987) 



Conformity assessment - Vocabulary and general principles 

Safety requirements for lifts (elevators) - Part 1 - Global essential safety 
requirements (GESRs) for lifts (elevators) 

National Electrical Code 

Surface Burning Characteristics of Building Materials 

Slip resistance classification of new pedestrian surface materials 

Surface Burning Characteristics of Building Materials 

1988 Anthropometric Survey of U.S. Army Personnel 

System Safety Program Requirements 

Zurich Hazard Analysis: A brief introduction to the Zurich method of 
hazard analysis 



ANSI in US 
SCC in Canada 

ANSI in US 
SCC in Canada 

ANSI in US 
SCC in Canada 

NFPA 

NFPA 

AS//NZS 

UL 

USGPO 

USGPO 

ZSC 



28 



March 2007 



( 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 






© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



SECTION 5.2 PROCUREMENT INFORMATION 



Organization 


Address and Telephone Number 


Organization 


Address and Telephone Number 


ACI 


American Concrete Institute 


CCSB 


Canadian General Standards Board 




38800 Country Club Drive 




Gatineau, Quebec, Canada 




Farmington Hills, Michigan 48331, USA 




K1A1G6 




Telephone: (248) 848-3700 




Telephone: (819) 956-0425 




Fax: (248) 848-3701 




Fax:(819)956-5644 




http://www.aci-int.org 




http://www.pwgsc.gc.ca/cgsb/ 


ANSI 


American National Standards Institute, Inc. 


CSA 


CSA Sales Department 




25 West 43rd Street 




5060 Spectrum Way, Suite 100 




New York, New York 1 0036, USA 




Mississauga, Ontario, Canada L4W 5N6 




Telephone: (21 2) 642-4900 




Telephone: (800) 463-6727 




http://www.ansi.org 




http://www.csa.ca 


APA 


American Plywood Association 


ICC 


International Code Council 




P.O. Box 1 1 700 




5203 Lees burg Pike 




Tacoma, Washington, USA 




Suite 600 




98411-0700 




Fails Church, Virginia 22041, USA 




Telephone: (253) 565-6600 




Telephone: (703) 931-4533 




http://www.apawood.org 




http://www.iccsafe.org 


ASCE 


American Society of Civil Engineers 


MIT Press 


The MIT Press Bookstore 




1 801 Alexander Bell Drive 




292 Main Street 




Reston, Virginia 20191-4400, USA 




Cambridge, Massachusetts 02142, USA 




Telephone: (800) 548-2723 




Telephone: (61 7) 253-5249 




Fax: (703) 295-6222 




Fax: (61 7) 258-6894 




http://www.asce.org 




http://mitpress.mit.edu/bookstore 


ASME 


The American Society of Mechanical 


NFPA 


National Fire Protection Association 




Engineers 




1 Batterymarch Park 




Three Park Avenue 




P.O. Box 91 01 




New York, New York 1 001 6, USA 




Quincy, Massachusetts 02269-9101, USA 




Telephone: (21 2) 591 -8500 




Telephone: (61 7) 770-3000 




http://www.asme.org 




http://www.nfpa.org 




ASME Order Department 


sec 


Standards Council of Canada 




22 Law Drive 




270 Albert Street, Suite 200 




Box 2300 




Ottawa, Ontario, Canada 




Fairfield, New jersey 07007-2300, USA 




K1P6N7 




Telephone: (201) 882-1 167 




Telephone: (61 3) 238-3222 




(800) 843-2763 




Fax: (61 3) 569-7808 
http://www.scc.ca 


ASTM 


American Society for Testing and Materials 








1 00 Barr Harbor Drive 


SIA 


Scaffold Industry Association, Inc. 




W. Conshohocken, 




20335 Ventura Blvd., Suite 310 




Pennsylvania 19428-2959, USA 




Woodland Hills, California 91 364, USA 




Telephone: (61 0)832-9500 




Telephone: (818) 610-0320 




http://www.astm.org 




http://www.scaffold.org 


AS/NZS 


Excel Partnership, Inc. 


UL 


Underwriters Laboratories, Inc. 




75 Glen Road 




333 Pfingsten Road 




Sandy Hook, Connecticut 06482, USA 




Northbrook, Illinois 60062, USA 




Telephone: (800) 374-381 8 




Telephone: (847) 272-8800 




http://www.xlp.com/ 




http://www.ul.com 



March 2007 



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m 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Organization 


Address and Telephone Number 


Organization 


Address and Telephone Number 


ULC 


Underwriters' Laboratories of Canada 


USGPO 


U.S. Government Printing Office 




7 Underwriters Road 




Superintendent of Documents 




Toronto, Ontario, Canada 




Washington, DC 20402, USA 




M1R3B4 




Telephone: (202) 512-1800 




Telephone: (41 6) 757-3611 




(866)512-1800 




Fax:(416)757-8727 




http://www.gpo.gov 




http://www.ulc.ca 






US ATBCB 


United States Architectural and 


zsc 


Zurich Service Corporation 




Transportation Barriers Compliance 




Telephone: (800) 695-6036 




Board 




http://www.zurichservices.com/ 




131 F Street, NW, Suite 1000 








Washington, DC 20004-1 1 1 1 , USA 








Telephone: (202) 272-0020 








http://www.access-board.gov 







30 



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© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

MANDATORY APPENDIX I 

CERTIFICATION OF CONFORMANCE OF ELEVATOR SYSTEMS, 

SUB SYSTEMS, COMPONENTS, OR FUNCTIONS 

1-1 General 

An applicant or authorized representative shall obtain a Certificate of Conformance to ASME 

A1 7.7/CSA B44.7 for sub-systems, components, or functions (see Mandatory Appendix !-3) or elevator 

system (see Mandatory Appendix i-4), whichever is applicable. 

1-2 Model Elevator 

1-2.1 

Where an elevator system is designated as a Model Elevator by the manufacturer, the applicant shall be 
required to obtain a Certificate of Conformance for the initial representative model only. Subsequent 
series-produced elevators with the same design and configuration as the model representative shall not be 
required to be submitted for certification. 

1-2.2 

All permitted variations between the model elevator and the installed elevators shall be clearly specified 
(with minimum and maximum values, features, etc.) in the technical documentation (see Mandatory 
Appendix 1-4.3). 

1-2.3 

By calculation and/or on the basis of design plans, it shall be permitted to demonstrate the similarity of a 
range of equipment to satisfy the CESRs. 

1-3 Certification of Sub-Systems, Components, or Functions 

1-3.1 

Certification of sub-systems, components, or functions is the procedure whereby an AECO certifies that a 
representative sample of a sub-system, component, or function of an elevator system will permit the 
elevator system to satisfy the relevant requirements of 2.2.1 (b) or (c), provided the sub-system, 
component, or function is correctly fitted to the elevator system as specified in the manufacturer's CCD. 

1-3.2 

The application for certification of sub-systems, components, or functions shall be submitted by the 
applicant or an authorized representative to an AECO. The application shall include the following: 

(a) the name and address of applicant; 

(b) the name and address of the manufacturer of the sub-system, component, or function or the 
authorized representative and the place of manufacture of the sub-system, component, or function; 

(c) a written declaration that the same application has not been submitted to any other AECO, or a 
written explanation as to why the application is being submitted to another AECO; 

(d) technical documentation (see Mandatory Appendix 1-3.3); and 

(e) a representative sample(s) of the sub-system, component, or function, or details of the place where it 
can be examined. 

1-3.3 

Technical documentation shall be provided for an AECO to assess the conformity of a sub-system, 
component, or function when it is correctly fitted as specified in the manufacturer's CCD (see 1-3.1). 



March 2007 3 1 

I Copyright ©2007 by the American Society of Mechanical Engineers. (e$s{ f 

|:i No reproduction may be made of this material without written consent of ASME. ^BD* J i 



© Canadian Standards Association 
ASME A 1 7. 7-2007/CSA B44.7-07 © American Society of Mechanical Engineers, Inc. 

The technical documentation shall include the following: 

(a) CCD (see 2.10); 

(b) a general description of the sub-system, component, or function, including its intended use (possible 
limitations such as speed, load, power, etc.) and conditions affecting use (such as explosive 
environments, exposure to the elements, etc.); 

(c) design and manufacturing drawings or diagrams; 

(d) GESRs taken into consideration and the means adopted to conform; 

(e) results of all applicable tests or calculations performed or subcontracted by the applicant or 
manufacturer; 

(f) a copy of the assembly instructions for the sub-system, component, or function; and 

(g) steps taken at the manufacturing stage to ensure that the series-produced sub-system, component, 
or functions conform to the sub-system, component, or function examined. 

13.4 

The AECO shall 

(a) examine the technical documentation to verify that the sub-system, component, or function meets 
the relevant GESRs; and 

(b) perform or have performed appropriate checks and tests necessary to determine whether the 
solutions adopted by the manufacturer of the sub-system, component, or function meet the 
requirements of this Code, allowing the sub-system, component, or function to carry out its function 
when correctly fitted on an elevator as specified in the manufacturer's CCD. 

1-3.5 

1-3.5.1 

When the AECO confirms that the representative sub-system, component, or function conforms to the 
applicable requirements of this Code, the AECO shall issue a Certificate of Conformance to the applicant. 

13.5.2 

The certificate and accompanying documents, if any, shall include the following: 

(a) the name and address of the manufacturer of the sub-system, component, or function and the name 
and address of the applicant, if other than the manufacturer; 

(b) the scope of the certification, including, as appropriate: 

(1) product(s) certified, which shall be permitted to be identified by type or range of products; 

(2) relevant parts of this Code (such as GESRs, SPs, etc.) to which each product or product type 
is certified; and 

(3) statement of compliance with ASME A1 7.7/CSA B44.7; and 

(c) the effective date of the certificate and the term (time limit), if applicable. 

1-3.5.3 

If the AECO refuses to issue a Certificate of Conformance to the applicant, it shall state the detailed 
grounds for refusal. 

NOTE (1-3.5.3): Provision for appeal of an AECO's decision is one of the requirements for accreditation ofAECOs. 

1-3.6 

The applicant who has received a Certificate of Conformance for a sub-system, component, or function 
shall inform the AECO in writing of any modifications to the sub-system, component, or function that 
could affect the safety of the system in which it is applied. The AECO is required to examine the 
modifications and inform the applicant whether the Certificate of Conformance remains valid. 
Changes in the design that do not affect the safety of the system shall be permitted to be made without 
the approval of the AECO. 



32 



March 2007 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

1-4 Certification of Elevator Systems 

1-4.1 

Certification of an elevator system is the procedure whereby an AECO certifies that an elevator system 
satisfies the requirements of 2.2.1(b) or (c). 

1-4.2 

The application for certification of an elevator system shall be submitted by the applicant or an authorized 
representative to an AECO. 

The application shall include the following: 

(a) the name and address of the applicant or the authorized representative and the place of manufacture 
of the elevator system; 

(b) a written declaration that the same application has not been submitted to any other AECO, or a 
written explanation as to why the application is being submitted to another AECO; 

(c) technical documentation (see Mandatory Appendix 1-43); and 

(d) details of the location where the elevator system can be examined. The elevator system submitted for 
examination and certification shall include all parts and be capable of serving at least three levels (top, 
middle and bottom) unless the system is specifically limited in scope to a two-stop application. 

1-4.3 

The technical documentation shall provide sufficient understanding of the design and operation of the 
elevator system to facilitate verification of its conformity to the requirements of this Code. 

The technical documentation shall include the following: 

(a) CCD (see 2.10); 

(b) a general description of the elevator system under examination, indicating all possible extensions to it 
(see also definition of "model elevator"); 

(c) design and manufacturing drawings or diagrams; 

(d) GESRs taken into consideration and means adopted to satisfy them; 

(e) results of any tests or calculations performed or subcontracted by the manufacturer, applicant, or 
installer; and 

(f) steps taken at the installation stage to ensure that the elevator system conforms to the requirements 
of this Code. 

1-4.4 

The AECO shall: 

(a) examine the technical documentation to verify that the elevator system meets the relevant GESRs; 
and 

(b) perform or have performed the appropriate checks and tests necessary to determine that the elevator 
system meets the requirements of this Code. 

1-4.5 

1-4.5.1 

When the AECO confirms that the elevator system complies with the applicable requirements of this Code, 
the AECO is required to issue a Certificate of Conformance to the applicant. 



March 2007 33 



Copyright ©2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 
ASME A 7 7. 7-200 7/CSA B44. 7-07 €> American Society of Mechanical Engineers, Inc. 

1-4.5.2 

The certificate and related documents shall include the following: 

(a) the name and address of the supplier whose products are the subject of certification. 

(b) the scope of the certification, including, as appropriate: 

(1) products certified, which shall be permitted to be identified by type or range of products; 

(2) relevant parts of this Code to which each product or product type is certified; 

(3) statement of compliance with ASME A1 7. 7/CSA B44.7; and 

(c) the effective date of the certificate and the term (time limit) if applicable. 

1-4.53 

If the AECO refuses to issue a Certificate of Conformance to the applicant, it shall state the detailed 
grounds for refusal. 

NOTE (1-4.5.3): Provision for appeal of an AECO's decision is one of the requirements for accreditation ofAECOs. 

1-4.6 

The applicant who has received a Certificate of Conformance for an elevator system shall inform the AECO 
in writing of any modifications that could affect the safety of the system. The AECO shall examine the 
modifications and inform the applicant whether the Certificate of Conformance remains valid. 

Changes in the design that do not affect the safety of the system shall be permitted to be made without 
the approval of the AECO. 

1-5 AECO Records 

Each AECO shall maintain up-to-date records, available in a publicly accessible medium, containing the 
relevant information concerning 

(a) Certificates of Conformance issued; and 

(b) Certificates of Conformance withdrawn. 

1-6 Marking of Sub-Systems and Components 

The elevator sub-system or component shall be labeled, marked, or tagged with the following data: 

(a) the name or trademark of the manufacturer, or AECO Certificate of Conformance identification by 
which the organization that manufactured the device can be identified; 

(b) the AECO mark, name, or identifying symbol, if applicable; 

(c) the AECO Certificate of Conformance identification, if applicable; 

(d) statement of compliance with ASME A1 7.7/CSA B44.7; 

(e) a distinctive type, model, or style letter or number; and 

(f) any conditions of validity of the certificate and any particulars necessary to identify the type of 
component certified, as determined by the AECO. 

NOTE (1-6): Sub-systems and components that require inspection and testing should have informational data provided in 
the MCP, such as application forces, speeds, strengths, voltages, currents, etc. 



34 March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME, 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

NONMANDATORY APPENDIX A 
BACKGROUND TO GESRs 



NONMANDATORY APPENDIX A-l 

APPROACH AND GESR DEVELOPMENT METHODOLOGY 

A- 1.1 Approach 

A-l.1.1 

The GESRs in this Code, and the method of applying them, are consistent with the GESRs and approach of 
ISO/TS 22559-1, which was developed following ISO/IEC Guide 51 . Minor modifications have been made 
in this Code to the GESRs and the methodology of ISO/TS 22559-1 to use terminology consistent with 
North American practice and to cover the scope of this Code. 

A-l.1.2 

The intent of ISO/TS 22559-1 was to develop essential safety requirements (ESRs) for elevators, whereby 
the elevator is defined in broad terms as a "unit" carrying load from one floor to another, without any 
design constraints such as those that are usually specified in regional or national elevator standards. 
Consequently, a load-carrying unit [LCU (car)] of an elevator in this document is not necessarily a "car" 
that consists of a platform with fully enclosed sides and ceiling. The space in which the unit travels is not 
necessarily a fully enclosed "hoistway" as this term is defined in national standards. 

A-l.1.3 

By taking this approach and by using a systematic risk assessment process in accordance with ISO 14798, 
it was possible to establish essential safety requirements (ESRs) for elevators without imposing restrictions 
on the design or materials and technologies used. 

A-1.2 Development of ISO/TS 22559-1 

A-l.2.1 

In order to involve experts from various parts of the world, three regional study groups were formed 
(North American, European, and Asia-Pacific) with broad participation of regional elevator experts. 

A-l.2.2 

Following the risk assessment methodology specified in ISO 14798, each study group 

(a) identified safety risk scenarios, including hazardous situations and harmful events (causes and effects) 
that could arise from the maintenance, operation, inspection, testing, and use of elevators; 

(b) estimated and evaluated the risk; and 

(c) formulated ESRs when the risks required mitigation. 

NOTE (A-1.2. 2): Table A-1 gives several examples of risk scenarios related to several GESRs. 

A-l.2.3 

Reports on the analysis of risk scenarios and essential safety requirements proposed by each study group 
were compared and debated within ISO/TC 1 78 Working Group 4 before the final proposals for global 
essential safety requirements (GESRs) for elevators, reproduced in Part 3 of this Code, were established. 
The GESRs thus established represent a substantial international consensus. 



March 2007 35 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-l 
Examples of risk scenarios related to GESRs 



Risk scenarios 



Applicable GESR # 
(see Part 3) 



EXAMPLE 1 



3.1.5. Hazards Due to Relative 
Movement 



1 .1 Users are on a moving LCU (car) that has low or perforated guards on its Users and non-users shall be 

sides; a user extends a hand or protrudes a foot beyond the LCU (car) protected from the effects of 

perimeters; the hand or foot engages with external elevator objects and is shearing, crushing, or abrasion or 

sheared, crushed, or cut. other injuries due to 



1 .2 Users are in the elevator entrance area prepared to enter the LCU (car); the (a) 
entrance door is moving; the doors move towards, and contact, the users who 
are entering the LCU (car); people are crushed or sheared or they are 
destabilized, possibly resulting in an injury due to a fall. 



1 .3 Non-users are at the floor area in the vicinity of the elevator entrance or at 
the floor around the LCU (car) travel path; the enclosure around the LCU (car) 
travel path is low in height or perforated; a person extends a hand or 
protrudes a foot towards the moving LCU (car) or any other moving elevator 
equipment in the travel path, which engages with the hand or foot; then the 
hand or foot is sheared, crushed, or cut. 

EXAMPLE 2 



2.1 There are no guards between the LCU (car) travel path and the floors 
surrounding the travel path. If a person leans over the floor edge or the 
entrance opening sill, the person can fall down the hoistway. 



2.2 If guards are provided but have no adequate strength, a person could lean 
against a guard, break through it, and fall down into the hoistway. 

EXAMPLE 3 



Users or non-users have access to elevator machinery and/or the equipment 
installed to move or control the LCU (car); these persons could then 
inadvertently or deliberately come in contact with moving or rotating 
machinery or electrical equipment; this could result in serious injury if the 
person is drawn into or comes into contact with the machinery; a person 
could be electrocuted if he or she comes into contact with exposed electrical 
equipment. 

EXAMPLE 4 

Elevator personnel are working on top of the LCU (car) or in some other 
working space that does not have sufficient strength to support the personnel 
and tools; the working surface collapses and the personnel fall into the LCU 
(car), seriously injuring themselves and anybody inside the LCU (car). 



relative movement of the LCU 
(car) and external objects; and 



(b) relative movement of the 
elevator equipment. 



3.2 GESRs RELATED TO PERSONS 
ADJACENT TO THE ELEVATOR — 
FALLING INTO HOISTWAYS 

Means shall be provided to prevent 
the risk to users, non-users, and 
elevator personnel falling into the 
hoistway. 



3.1.3 Equipment Inaccessible to 
Users and Non-Users 

Equipment that is hazardous shall 
not be directly accessible to users 
and non-users. 



3.5.4 Strength of Working Areas 

Means shall be provided to 
accommodate and support the 
weight of elevator personnel and 
associated equipment in any 
designated working area. 



36 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

NONMANDATORY APPENDIX A-2 
UNDERSTANDING AND IMPLEMENTING GESRs 

A-2.1 Overall Objective 

A-2.1.1 

Compliance with ASME Al 7.7/CSA B44.7 is an effective method of providing safety on elevators. 

A-2.1.2 

Part 3 contains objectives for elevators in the form of global essential safety requirements (GESRs) to be 
taken into consideration when mitigating safety risks that elevators can present. 

A-2.1.3 

The objective of GESRs in Part 3 is to 

(a) introduce a universal approach to identifying and mitigating potential safety risks on new elevator 
system, sub-system, component, or function designs employing new technologies, materials, or 
concepts not adequately addressed in existing standards; and 

(b) stimulate harmonization of existing elevator safety standards. 

A-2.1.4 

Given the present state of the art, objectives specified by GESRs are sometimes not fully attainable. In such 
cases the elevator system, sub-system, component, or function must be designed and built to satisfy those 
objectives to the greatest possible extent. 

A-2.1.5 

A GESR states only the safety objective, or "what" must be done or accomplished, but not "how" to 
accomplish the objective. Therefore, to achieve the safety objective of a GESR, appropriate designs of 
elevator systems, sub-systems, components, or functions must be selected and compliance with the GESR 
verified. In other words, the ability of the selected elevator system, sub-system, component, or function to 
eliminate or sufficiently mitigate safety risks must be demonstrated. 

A-2.2 Use of GESRs 

A-2.2.1 Basis 

Each GESR specified in Part 3 was established after performing a risk assessment of one or more risk 
scenarios that can result in harm to persons (see Nonmandatory Appendix Table A-1). Consequently, 
when assessing the safety of an elevator system, sub-system, component, or function, risk scenarios are to 
be analyzed and applicable GESRs identified. 

NOTE (A-2. 2. 1): Risk assessment is carried out in accordance with ISO 14798. 

A-2.2.2 Ways of Using GESRs 

A-2.2.2.1 

GESRs can be used in two ways: 

(a) risk analysis of risk scenarios related to the task in order to identify the applicable GESRs as in 
A-2.2.2.2; or 

(b) a review of all GESRs in order to identify those that could be applicable to the task, as in A-2. 2. 23 

NOTE (A-2.2.2. 1): in addition to designing, tasks could include installing or servicing of elevator systems, sub-systems, 
components, or functions thereof. 



March 2007 37 



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© Canadian Standards Association 
ASME A 1 7.7-2007/CSA B44.7-07 © American Society of Mechanical Engineers, Inc. 

A-2.2.2.2 

When designing an elevator system, sub-system, component, or function, a review of the design is made, 
in which risk scenarios are formulated and risk assessments are performed in order to find out which, if 
any, GESRs are applicable to the design. One should consider risk scenarios that could occur during 
operation and use, as well as during the maintenance or inspection of the elevator. 

The risk scenarios should include specification of hazardous situations, combined with causes and 
effects, including possible degrees of harm. The risk analysis of a scenario is followed by the process of risk 
estimation and evaluation in accordance with the methodology specified in ISO 14798. As long as a risk is 
assessed as not acceptable, the designer is required to continue to improve the design or is required to 
implement other protective measures until the applicable GESR has been fully complied with. 

EXAMPLE (A-2.2.2.2): By following this process, risk scenarios similar to those in Example 1 in Nonmandatory Appendix 
Table A-1 could be formulated, and it could be concluded that there is a possibility of injury to persons exposed to shearing, 
crushing, or abrasion hazards. The assessment of the risk will indicate that the risk needs further mitigation, which can be 
achieved by changing the design or by implementing other protective measures, in order to comply with GESR 3, 1.5. 

NOTES (A-2.2.2.2): 

(1) For practical use of GESRs, see A-2. 3. 

(2) Rationale for GESRs are given in NOTES following each GESR in Part 3. They should assist understanding of the intent 
and use of GESRs. 

The process starts with a review of GESRs specified in Part 3. In this case, design or actual installation of 
elevator systems, sub-systems, components, or functions is considered, with the intent of identifying 
GESRs applicable to design, installation, or components. Gompliance with each identified GESR must be 
assessed. If compliance is not self-evident, risk assessment must be completed to demonstrate compliance. 

EXAMPLE (A-2. 2. 2. 3): In the case of GESR 3.1 .5 in Example 1 in Nonmandatory Appendix Table A-1, the elevator design 
or installation is examined to find out whether any person traveling in the ECU (car), entering or exiting the ECU (car), being 
around the elevator travel path or hoistway, or being in any similar situation could be exposed to shearing, crushing, 
abrasion, or a similar hazard that can cause harm. 

A-2.2.3 Applicability of GESRs 

When analyzing the safety of an elevator system, sub-system, component, or function, the applicability of 
all relevant GESRs should be determined. Systematic descriptions of risk scenarios, combined with risk 
assessment, would help to determine applicability of individual GESRs. 

NOTE (A-2.2.3): GESR 3, h 12, related to effects of earthquake on elevators, and GESR 3.4.13, related to the risk of an ECU 
(car) being affected by flood, are examples of GESRs that are not applicable to every elevator. 

A-2.2.4 GESRs as Safety Objectives 

A-2.2.4.1 

GESRs are not "protective measures" as defined in ISO 14798. A GESR states only the safety objective; it 
does not specify how the objective is to be achieved. Therefore, when an elevator is being designed, 
appropriate components and functions in terms of size, dimensions, strength, force, energy, material, 
acceleration, reliability of performance of safety-related parts, etc., must be selected as applicable, and 
their ability to eliminate or sufficiently mitigate risks to achieve compliance with the objective specified by 
the GESR must be established. 

NOTE (A-2. 2. 4. 1): There are additional GESRs applicable to the guards on the LCU (car) sides (see 3.4.4) and the ECU (car) 
travel path or hoistway sides (see Example 2 in Nonmandatory Appendix Table A- 1); they are related to the risk of persons 
falling into the travel path from the ECU (car) and from the floors around the travel path. 



38 March 2007 

f Copyright © 2007 by the American Society of Mechanical Engineers. (^Si r 

?! No reproduction may be made of this material without written consent of ASME. t3D« H 






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© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

EXAMPLE (A-2.2.4.1): 

In the case of Example 7 in Nonmandatory Appendix Table A- 1, in order to eliminate or mitigate the risks to persons inside 

the LCU (car), in the elevator entrance area, and in the area around the LCU (car) travel path, the following must be 

determined: 

(a) the minimum height of the guards or walls on the sides of the LCU (car) platform; 

(b) the maximum size of perforations (openings) in the LCU (car) guards or walls, if any; 

(c) the maximum permissible impact, force, speed, and kinetic energy, if any, of the door when closing on the person; 

(d) the minimum height of the guards or wall separating the LCU (car) travel path and other moving components from the 
elevator landing and floor area around the elevator; and 

(e) the maximum perforation (openings) in the guards or walls around the travel path, if any. 

A-2.2.4.2 

To assess the risk presented by an elevator system, sub-system, component, or function, the elevator 
should be divided into sub-systems, and risk scenarios assessed one sub-system at a time. However, one 
CESR can be applicable to more than one sub-system (see Nonmandatory Appendix Table A- 3). 

A- 2. 2. 5 Verification of Conformance 

To establish the ability of a selected elevator system, sub-system, component, or function to eliminate or 
sufficiently mitigate a risk, as required in A-2.2.4, risk analysis will be carried out. 

A component can be assessed as being able to eliminate or sufficiently mitigate a risk, but the same 
component can create a new hazard or the component can incorporate elements that could fail and void 
the protective function of the whole system. For that reason, reliability of components, built-in elements, 
and functions to perform as intended must be established through a risk assessment process. 

EXAMPLE (A-2.2.5): A failure of a single solid-state or software element in the LCU (car) speed-control components, which 
are provided for compliance with CESR 3.4.6, can make the component non-functional, allowing the LCU (car) to move out 
of control. 

A-2.3 Use of this Code 

A-2.3.1 Users 

This Code provides a uniform process for assessing safety of elevators. Global essential safety requirements 
(GESRs) are intended for use by the following: 

(a) elevator designers, manufacturers and installers, and maintenance and service organizations; 

(b) AECOs; and 

(c) AHJs. 

A-2.3.2 Designers, Manufacturers and Installers, and Maintenance and 
Service Organizations 

A-2.3.2. 1 Elevator Components and Functions 

Elevator components and functions should be designed, manufactured, installed, adjusted, and 
maintained 

(a) in accordance with the ASME A1 7.1 /CSA B44 Code or locally adopted elevator standards or other 
applicable standards intended to meet the protection level required by GESRs; 

(b) in accordance with this Code, in which case selected components and functions should be shown to 
meet the safety objective of GESRs through a risk assessment process, such as ISO 14798; or 

(c) in accordance with a combination of (a) and (b) and, if necessary, should be tested, certified, and 
assessed for conformity with applicable regional or local regulations. 



March 2007 39 

r Copyright © 2007 by the American Society of Mechanical Engineers. r££b \ 

No reproduction may be made of this material without written consent of ASME. S®s J 



© Canadian Standards Association 
ASMEA17.7-2007/CSA B44J-07 © American Society of Mechanical Engineers, Inc. 

A-2.3.2.2 Proof of Conformance 

Conformance with A-2. 3. 2. 1(a) is achieved by meeting requirements of a standard that is consistent with 
the GESRs and other regulations applicable to the jurisdiction in which the elevator is to be operated, such 
as local fire standards, building standards, etc. 

A-2.3.2.2.2 

Conformance with A-2. 3.2.1 (b) is achieved by identifying risk scenarios (see A-1 .2,2) related to a particular 
elevator design and by conducting a risk assessment, in order to demonstrate that the requirements 
specified in applicable GESRs have been complied with, and their safety objectives achieved. 

NOTE (A-2. 3. 2. 2. 2): According to ISO 14798, a balanced team of experts who have experience in the design, manufacture, 
installation, maintenance, and inspection of elevators should conduct the risk assessment. The team should be led by a 
facilitator who is well versed and experienced in elevator technology and in the use of ISO 14798. The results of the study 
should be documented. Any identified risks should be sufficiently mitigated. This approach is particularly useful for innovative 
products that have not been covered by existing design-prescriptive standards. 

A-2.3.2.2.3 

The approach in A-2. 3.2.1 (c) applies to elevators that meet most requirements of a standard consistent 
with GESRs, but that have certain innovative features not specifically covered by the standard. Such cases 
may be handled as follows: 

(a) Identify areas where the elevator does not comply with specific prescriptive requirements of the 
standard. 

(b) Identify specific requirements of the standard that innovative features do not meet. In addition, 
identify GESRs related to the requirements that the elevator, in combination with innovative features, 
cannot meet. 

(c) Conduct a risk assessment, as described in 2.7, of aspects, areas, or features of the elevator that are 
required to meet GESRs identified in (b). Any identified risk should be sufficiently mitigated. 

A-2.3.3 Accredited Elevator/Escalator Certification Organizations 
(AECOs) 

When an AECO is involved in the assessment of conformance of an elevator or its components with GESRs, 
this document can be used in various ways, including: 

(a) verification of the designer's, manufacturer's, or other organization's documentation (such as designs, 
testing procedures, reports on risk assessments, etc.) that demonstrates conformity with GESRs; and 

(b) formulating the AECO's risk scenarios and verifying applicability to, and compliance with, specific 
GESRs. 

For this purpose, procedures similar to that described in A-2,2 and A-2.3.2 should be followed. 

A-2.3.4 AHJs 

Inspectors can use this Code to 

(a) verify that applicable GESRs have been taken into account by the designer, manufacturer, installer, or 
maintainer; 

(b) verify suitability of proposed inspection and testing procedures in the applicable standard or CCD 
(2.1,2.3); and 

(c) assess inspection and test results. 

For this purpose, a procedure similar to that described in A-2. 2 and A-2. 3.2 should be followed. 



40 March 2007 



:C 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

NONMANDATORY APPENDIX A-3 

OVERVIEW OF GESRs IN RELATION TO ELEVATOR SUB-SYSTEMS 

A-3.1 General 

GESRs are specified in Part 3 and are grouped according to the location where a person can be exposed to 
a hazard or a hazardous situation or event. Table A~3 is provided to assist users who view an elevator as a 
combination of clearly distinguishable sub-systems. Table A-3 gives an overview of all Part 3 GESRs (except 
for notes following specific GESRs) in relation to elevator sub-systems. 

A-3 .2 References and Symbols in Table A-3 

A-3.2.1 Symbols in the Table Heading Identifying Sub-Systems 

B - Building, including its structure, hoistway, machinery space, and building equipment not provided 

by elevator contractor. 
C - Control sub-system, including electrical equipment and wiring, except "Sf" (safety devices). 
E - Landing and LCU (car) entrances. 
G - Guiding of the LCU (car) and counterweight system. 
H - Hoistway, including interior and surrounding guards or enclosures. 
L - Load-carrying unit [LCU (car)], including its top, if applicable. 
M - Machine, including braking system. 
Sf - Safety devices. 
Sp - Suspension of LCU (car) system. 
W - Working area or space. 

A-3. 2. 2 Symbols in the Table Columns 

X - A GESR that is primarily applicable to the elevator sub-system(s) identified in the heading. 

O - A GESR that can be applicable to the elevator sub-system(s) identified in the heading. 

GESR # - Cross-reference to Part 3 in this Code. 
* - The GESR for an equivalent hazard is given in 3.5. 



March 2007 4 I 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-3 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-3. 2 for 
symbols] 



GESR # Global essential safety requirement in Part 3 B 


C 


E 


G 


H 


L 


M 


Sf 


Sp 


w 


3.1 COMMON GESRs RELATED TO PERSONS AT DIFFERENT 
LOCATIONS 




















3.1 .1 Supports for Elevator Equipment X 

The means used to support the elevator equipment shall be 
capable of sustaining all loads and forces (including impact 
forces) imposed during normal and emergency operations. 






o 


O 














3.1.2 Elevator Maintenance O 

Where maintenance is required to ensure continued safety, 
appropriate instructions shall be provided, and elevator 
personnel shall perform any required work. 


o 


o 


o 


O 


o 


o 








o 


3.1 .3 Equipment Inaccessible to Users and Non-Users O 

Equipment that is hazardous shall not be directly accessible to 
users and non-users. 


o 


o 




X 





o 


o 




o 


3.1 .4 Floors of the LCU (Car) and Working Areas 

The floors of the LCU (car) and standing areas of workplaces 
shall minimize the risk of tripping and slipping. 










X 








X 


3.1 .5 Hazards Due to Relative Movement 

Users and non-users shall be protected from the effects of 
shearing, crushing or abrasion, or other injuries due to 

(a) relative movement of the LCU (car) and external objects; 
and 

(b) relative movement of the elevator equipment. 


o 


X 


o 


X 


X 










3.1 .6 Locking Landing Doors and Closing LCU (Car) Doors 

Any movement of the LCU (car) that is hazardous to persons 
shall be stopped if any hoistway door is open or unlocked or the 
LCU (car) door is not closed. 












o 


o 


X 






3.1.7 Evacuation 

Means and procedures shall be provided to enable trapped 
users or elevator personnel to be safely released and evacuated. 


o 


X 







X 










X 


3.1 .8 Sharp Edges 

Means shall be provided to sufficiently mitigate the risk to users 
and non-users of exposure to sharp edges. 




X 







X 










3.1 .9 Hazards Arising from the Risk of Electrical Shock 

Where electricity is provided, means shall be provided to 
sufficiently mitigate the risk to users and non-users of exposure 
to electrical shock and related hazards. 


X 





















3.1 .1 Electromagnetic Compatibility 

The safe operation of an elevator shall not be influenced by 
electromagnetic interferences. 


X 

















o 


3.1 .1 1 Illumination of LCU (Car) and Landings 

LCU (car) and landings shall be provided with adequate 
illumination during use. 




X 






X 











(Continued) 



42 



C 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



March 2007 



© Canadian Standards Association 

© American Society of Mechanical Engineers, inc. 



Performance-based safety code for eievators and escalators 



Table A-3 
Cross-Ref erencing of GESRs in Part 3 and Elevator Sub-Systems 



GESR # Global essential safety requirement in Part 3 



Elevator Sub-System [see A-3.2 for 
symbols] 

BCEGHLMSf SpW 



3.1 .1 2 Effects of Earthquake O 

In areas subject to earthquake, means shall be provided to 
minimize the risk to users of the LCU (car) and elevator 
personnel of the foreseeable effects of earthquakes on the 
elevator equipment. 


X 




O 


O 


X 


o 


o 


o 


X 


3.1 .1 3 Hazardous Materials O 

The characteristics and quantity of material used for the 
manufacture and construction of the elevator shall not lead to 
hazardous situations. 









X 


X 








X 


3.1.14 Environmental Influences O 

Users and elevator personnel shall be protected from 
environmental influences. 


O 






O 


X 




o 




X 



3.2 



3.2 GESRs RELATED TO PERSONS ADJACENT TO THE 
ELEVATOR — FALLING INTO HOISTWAY 



Means shall be provided to prevent the risk of users, non-users, O 
and elevator personnel falling into the hoistway. 



O 



33 GESRs RELATED TO PERSONS AT THE ELEVATOR 
ENTRANCES 



3.3.1 Access and Egress 

Safe means of access and egress shall be provided to the LCU 
(car) at landings. 





X 






X 











3.3.2 Horizontal Sill-to-Sill Gap 

The horizontal gap between the sill of the LCU (car) and that of 
the landings shall be limited. 




X 


o 




X 










3.3.3 Alignment of LCU (Car) and Landings 

When users enter or exit the LCU (car), its platform and landing 
floor shall be substantially aligned. 


X 









o 


o 








3.3.4 Self-Evacuation from an LCU (Car) 

Self-evacuation of users shall be possible only when the LCU 
(car) is at or near a landing. 


X 







o 


X 











3.3.5 Gap between the Landing Doors and LCU (Car) Doors 

The space between the landing doors and LCU (car) doors shall 
not allow the presence of users. 




X 






X 










3.3.6 Means to Reopen Doors when LCU (Car) is at Landing 

Means shall be provided to reopen the LCU (car) and landing 
doors if their closing is obstructed when the LCU (car) is at the 
landing. 


X 














X 







(Continued) 



March 2007 



Copyright © 2007 bv the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



43 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-3 
Cross-Ref erencing of GESRs in Part 3 and Elevator Sub-Systems 



GESR # Global essential safety requirement in Part 3 



Elevator Sub-System [see A-3. 2 for 
symbols] 

BCEGHLMSf SpW 



3.4 GESRs RELATED TO PERSONS IN THE LCU (CAR) 



3.4.1 Strength and Size 

The LCU (car) shall accommodate and support the rated ioad 
and a reasonably foreseeable overload. 






o 




X 




o 






3.4.2 LCU (Car) Support/Suspension 

Means shall be provided to support the fully loaded LCU (car) 
and a reasonably foreseeable overload. 






o 




X 








X 




3.4.3 Overloaded LCU (Car) 

Means shall be provided to prevent an overloaded LCU (car) 
from attempting to leave a landing. 


X 








X 


o 


o 






3.4.4 Falling from an LCU (Car) 

Means shall be provided to prevent users from falling from the 
LCU (car). 










X 










3.4.5 LCU (Car) Travel Path Limits 

The vertical travel of the LCU (car) shall be limited to prevent 
the LCU (car) from uncontrolled running beyond the travel 
path. 


X 




X 




o 





X 


O 




3.4.6 Uncontrolled, Unintended Movement of an LCU (Car) 

Means shall be provided to limit uncontrolled or unintended 
movement of the LCU (car). 


X 









o 


X 


X 






3.4.7 LCU (Car) Collision with Objects in or beyond Travel Path 

Means shall be provided to avoid collision of the LCU (car) with 
any equipment in the travel path that could cause injuries to 
users. 


o 




o 


o 


X 




X 


o 




3.4.8 LCU (Car) Horizontal and Rotational Motion O 

Horizontal or rotational motion of the LCU (car) shall be limited 
to sufficiently mitigate the risk of injury to users and elevator 
personnel. 


o 




X 





X 











3.4.9 Change of Speed or Acceleration 

Means shall be provided to ensure that any change of speed or 
acceleration of the LCU (car) shall be limited to minimize the risk 
of injury to the users. 


X 













X 






3.4.1 Objects Falling on the LCU (Car) 

LCU (car) users shall be protected from falling objects. 











X 








* 


3.4.1 1 LCU (Car) Ventilation 

Adequate ventilation shall be provided to the LCU (car). 


o 









X 










3.4.1 2 Fire/Smoke in LCU (Car) 

The interior of the LCU (car) shall be constructed of materials 
that are fire-resistant and that develop a low level of smoke. 










X 











(Continued) 



44 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



m 



March 2007 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Table A-3 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A- 3. 2 for 
symbols] 



GESR # Global essential safety requirement in Part 3 B 


C 


E 


G 


H 


L 


M 


Sf 


Sp 


w 


3.4.1 3 LCU (Car) in Flooded Areas O 

Where there is a risk that the LCU (car) will descend into a 
flooded area, means shall be provided to detect and prevent 
descent into a flooded area. 


X 




















3,4.14 Stopping Means Inside the LCU (Car) 

Means located inside the LCU (car) of intentionally interrupting 
the movement of the LCU (car) by the user shall be allowed 
only if necessary, on elevators with a partially enclosed LCU 
(car) or elevators for special applications. 


X 








X 




o 






3.4.15 Landing Indication 

Means shall be provided to identify landings for users in the LCU 
(car). 

3.5 GESRs RELATED TO PERSONS IN WORKING AREAS 


X 


X 






X 










3.5.1 Working Space O 

Adequate and safe working space shall be provided. 








O 










X 


3.5.2 Accessible Equipment 

All elevator equipment requiring maintenance shall be safely 
accessible to elevator personnel. 











O 





o 


o 





X 


3.5.3 Access to and Egress from Working Spaces in the Hoistway O 

Access to and egress from working spaces in or beyond the 
travel path shall be safe. 





o 







o 








X 


3.5.4 Strength of Working Areas O 

Means shall be provided to accommodate and support the 
weight of elevator personnel and associated equipment in any 
designated working area. 








o 


o 








X 


3.5.5 Restrictions on Equipment in Elevator Spaces 

Only equipment related to the elevator installation or its 
protection shall be placed in the space containing the elevator 
equipment. 




















X 


3.5.6 Falling from Working Areas 

Means shall be provided to sufficiently mitigate the risk to 
elevator personnel of falling from any working area. 





















X 


3.5.7 LCU (Car) Movement under Control of Elevator Personnel 

Only elevator personnel shall be provided with means to 
prevent or to enable the movement of the LCU (car) when they 
are in the travel path. When elevator personnel are within reach 
of unprotected moving parts of the elevator, they shall be able 
to prevent or activate movement of the elevator equipment. 


X 









o 




o 




X 



(Continued) 



March 2007 



Copyright (D 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME 



45 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
€> American Society of Mechanical Engineers, Inc. 



Table A-3 (Concluded) 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 



GESR # Global essential safety requirement in Part 3 



Elevator Sub-System [see A- 3. 2 for 
symbols] 

BCEGHLMSf SpW 



3.5.8 Uncontrolled, Unintended Equipment Movement inside the 
Hoistway 

Means shall be provided to protect elevator personnel from the 
effects related to uncontrolled or unintended movement of 
equipment inside the hoistway. Any acceleration or deceleration 
to which elevator personnel are subjected as a result of 
uncontrolled or unintended movement shall be limited to 
sufficiently mitigate the risk of harm. 


X 









o 




o 




X 


3.5.9 Means of Protection from Various Hazards 

Means shall be provided to adequately protect elevator 
personnel in working spaces from the effects of shearing, 
crushing, abrasion, laceration, high temperature, or 
entrapment. 


O 











o 


o 





o 


X 


3.5.10 Falling Objects in Hoistway O 

While in the hoistway, elevator personnel shall be adequately 
protected from falling objects. 








o 











X 


3.5.1 1 Electric Shock in Working Spaces 

Equipment shall be designed and installed to minimize harm to 
elevator personnel due to the effects of electricity. 


X 


o 







o 





o 




X 


3.5.12 Illumination of Working Spaces 

All working spaces and access thereto shall be provided with 
adequate illumination for the use of elevator personnel. 


o 


o 
















X 



46 



March 2007 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. t£fa 

No reproduction may be made of this materia] without written consent of ASME. ^sb* 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

NONMANDATORY APPENDIX A-4 

TEMPLATE FOR CHECKING APPLICABLE GESRs 

A-4.1 General 

This table is a copy of Table A- 3 with two columns (Ap and RA) added. It is provided to help users of this 
Code identify GESRs that may be applicable to the subject or system (such as an elevator system, 
sub-system, component, or function) when compliance is being verified. 

A-4. 2 References and Symbols in Table A-4 

A-4.2.1 Symbols in the Table Heading Identifying Sub-Systems 

B - Building, including its structure, hoistway, machinery space, and building equipment not provided 
by elevator contractor. 

C - Control sub-system, including electrical equipment and wiring, except "Sf" (safety devices). 

E - Landing and LCU (car) entrances. 

G - Guiding of the LCU (car) and counterweight system. 

H - Hoistway, including interior and surrounding guards or enclosures. 

L - Load-carrying unit [LCU (car)], including its top, if applicable. 

M - Machine, including braking system. 

Sf - Safety devices. 

Sp -Suspension of LCU (car) system. 

W - Working area or space. 

Ap - Identify with" Yes" or "+" if the GESR is applicable. 

RA - Identify the case number (see first column in the Table C-l template) related to the risk assessment 
case which proves (in column "residual risk") that full compliance with the GESR is achieved, or 
enter any other symbol that will indicate compliance. Entering the case number is practical for later 
reference, such as by an AECO. Alternatively, in this column enter the ASME A1 7.1 /CSA B44 Code 
requirement reference when full compliance with the relevant GESR is achieved by meeting that 
requirement. 

A-4.2.2 Symbols in the Table Columns 

X - A GESR that is primarily applicable to the elevator sub-system(s) identified in the heading. 

O - A GESR that can be applicable to the elevator sub-system(s) identified in the heading. 

GESR # - Cross-reference to Part 3 in this Code. 



March 2007 47 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-4 
Cross-Reff erencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-4.2 for symbols] 

GESR# Global essential safety requirement in Part 3 BCEGHLMSfSp WApRA 

3.1 COMMON GESRs RELATED TO PERSONS AT 
DIFFERENT LOCATIONS 



3.1 .1 Supports for Elevator Equipment X 

The means used to support the elevator equipment 
shall be capable of sustaining all loads and forces 
(including impact forces) imposed during normal 
and emergency operations. 




























3.1.2 Elevator Maintenance 

Where maintenance is required to ensure 
continued safety appropriate instructions shall be 
provided, and elevator personnel shall perform any 
required work. 

































3.1 .3 Equipment Inaccessible to Users and Non-Users 

Equipment that is hazardous shall not be directly 
accessible to users and non-users. 





o 




X 





o 














3.1 .4 Floors of the LCU (Car) and Working Areas 

The floors of the LCU (car) and standing areas of 
workplaces shall minimize the risk of tripping and 
slipping. 










X 








X 






3.1 .5 Hazards Due to Relative Movement 

Users and non-users shall be protected from the 
effects of shearing, crushing or abrasion, or other 
injuries due to 

(a) relative movement of the LCU (car) and 
external objects; and 

(b) relative movement of the elevator equipment. 


o 


X 


O 


X 


X 














3.1 .6 Locking Landing Doors and Closing of LCU 
(Car) Doors 

Any movement of the LCU (car) that is hazardous 
to persons shall be stopped if any hoistway door is 
open or unlocked or the LCU (car) door is not 
closed. 


o 


o 






o 


o 


X 










3.1.7 Evacuation 

Means and procedures shall be provided to enable 
trapped users or elevator personnel to be safely 
released and evacuated. 


o 


X 




o 


X 





o 




X 






3.1.8 Sharp Edges 

Means shall be provided to sufficiently mitigate the 
risk to users and non-users of exposure to sharp 
edges. 




X 




o 


X 














3.1 .9 Hazards Arising from the Risk of Electrical 
Energy 

Where electricity is provided, means shall be 
provided to sufficiently mitigate the risk to users 
and non-users of exposure to electrical shock and 
related hazards. 


X 









o 
















(Continued) 



48 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this materia] without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Table A-4 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-4. 2 for symbols] 
GESR# Global essential safety requirement in Part 3 B C E G H L M Sf Sp W Ap RA 



3.1 .1 Electromagnetic Compatibility 

The safe operation of an elevator shall not be 
influenced by electromagnetic interferences. 


X 












o 











3.1 .1 1 Illumination of LCU (Car) and Landings 

LCU (car) and landings shall be provided with 
adequate illumination during use. 




X 






X 














3.1 .1 2 Effects of Earthquake O 

In areas subject to earthquake, means shall be 
provided to minimize the risk to users of the LCU 
(car) and elevator personnel of the foreseeable 
effects of earthquakes on the elevator equipment. 


X 










X 











X 






3.1 .1 3 Hazardous Materials O 

The characteristics and quantity of material used 
for the manufacture and construction of the 
elevator shall not lead to hazardous situation. 




O 




X 


X 








X 






3.1.14 Environmental Influences O 

Users and elevator personnel shall be protected 
from environmental influences. 









O 


X 









X 







3.2 GESRs RELATED TO PERSONS ADJACENT TO 
THE ELEVATOR— FALLING INTO HOISTWAY 

3.2 Means shall be provided to prevent the risk of 

users, non-users, and elevator personnel falling into 
the hoistway. 

3.3 GESRs RELATED TO PERSONS AT THE 
ELEVATOR ENTRANCES 



O 



3.3.1 Access and Egress O 

Safe means of access and egress shall be provided 
to the LCU (car) at landings. 


O 


X 






X 















3.3.2 Horizontal Sill-to-Sill Gap 

The horizontal gap between the sill of the LCU 
(car) and that of the landings shall be limited. 




X 







X 














3.3.3 Alignment of LCU (Car) and Landings 

When users enter or exit the LCU (car), its platform 
and landing floor shall be substantially aligned. 


X 









o 















3.3.4 Self-Evacuation from an LCU (Car) 

Self-evacuation of users shall be possible only when 
the LCU (car) is at or near a landing. 


X 


O 







X 















3.3.5 Gap between the Landing Doors and LCU (Car) 
Doors 

The space between the landing doors and LCU 
(car) doors shall not allow the presence of users. 




X 






X 















(Continued) 



March 2007 



c 



49 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-4 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-4. 2 for symbols] 
GESR# Global essential safety requirement in Part 3 BCEGHLMSfSp WApRA 



3.3,6 Means to Reopen Doors when LCU (Car) is at 
Landing 

Means shall be provided to reopen the LCU (car) 
and landing doors if their closing is obstructed 
when the LCU (car) is at the landing. 

3.4 GESRs RELATED TO PERSONS IN THE LCU 
(CAR) 



O 



O 



3.4.1 Strength and Size 

The LCU (car) shall accommodate and support the 
rated load and a reasonably foreseeable overload. 











X 















3.4.2 LCU (car) Support/Suspension 

Means shall be provided to support the fully 
loaded LCU (car) and reasonably foreseeable 
overload. 











X 


o 


o 


X 








3.4.3 Overloaded LCU (Car) 

Means shall be provided to prevent an overloaded 
LCU (car) from attempting to leave a landing. 


X 








X 


o 


o 










3.4.4 Falling from an LCU (Car) 

Means shall be provided to prevent users from 
falling from the LCU (car). 










X 














3.4.5 LCU (Car) Travel Path Limits 

The vertical travel of the LCU (car) shall be limited 
to prevent the LCU (car) from uncontrolled 
running beyond the travel path. 


X 




X 







o 


X 


o 








3.4.6 Uncontrolled, Unintended Movement of an LCU 
(Car) 

Means shall be provided to limit uncontrolled or 
unintended movement of the LCU (car). 


X 









o 


X 


X 










3.4.7 LCU (Car) Collision with Objects in or beyond 
Travel Path 

Means shall be provided to avoid collision of the 
LCU (car) with any equipment in the travel path 
that could cause injuries to users. 


o 










X 




X 











3.4.8 LCU (car) Horizontal and Rotational Motion 

Horizontal or rotational motion of the LCU (car) 
shall be limited to sufficiently mitigate the risk of 
injury to users and elevator personnel. 







X 





X 















3.4.9 Change of Speed or Acceleration 

Means shall be provided to ensure that any change 
of speed or acceleration of the LCU (car) shall be 
limited to minimize the risk of injury to the users. 


X 













X 










3.4.1 Objects Falling on the LCU (Car) 

LCU (car) users shall be protected from falling 
objects. 











X 















(Continued) 



50 



March 2007 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D- 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Table A-4 
Cross-Referencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-4. 2 for symbols] 



GESR # Global essential safety requirement in Part 3 B 


C 


E 


G 


H 


L 


M 


Sf 


Sp 


w 


Ap 


RA 


3.4.1 1 LCU (Car) Ventilation 

Adequate ventilation shall be provided to the LCU 
(car). 









O 


X 














3.4.1 2 Fire/Smoke in LCU (Car) 

The interior of the LCU (car) shall be constructed of 
materials that are fire-resistant and that develop a 
low level of smoke. 










X 














3.4,1 3 LCU (Car) in Flooded Areas 

Where there is a risk that the LCU (car) will 
descend into a flooded area, means shall be 
provided to detect and prevent descent into a 
flooded area. 


X 








O 















3.4.14 Stopping Means Inside the LCU (Car) 

Means located inside the LCU (car) of intentionally 
interrupting the movement of the LCU (car) by the 
user shall be allowed only, if necessary, on elevators 
with a partially enclosed LCU (car) or elevators for 
special applications. 


X 








X 




o 










3.4.15 Landing Indication 

Means shall be provided to identify landings for 
users in the LCU (car). 


X 


X 






X 















3.5 GESRs RELATED TO PERSONS IN WORKING 
AREAS 



3.5.1 Working Space 

Adequate and safe working space shall be 
provided. 



















X 






3.5.2 Accessible Equipment 

All elevator equipment requiring maintenance shall 
be safely accessible to elevator personnel. 





o 








o 











X 






3.5.3 Access to and Egress From Working Spaces in 
the Hoistway 

Access to and egress from working spaces in or 
beyond the travel path shall be safe. 


O 







o 


o 








X 






3.5.4 Strength of Working Areas O 

Means shall be provided to accommodate and 
support the weight of elevator personnel and 
associated equipment in any designated working 
area. 








o 


o 








X 






3.5.5 Restrictions on Equipment in Elevator Spaces O 

Only equipment related to the elevator installation 
or its protection shall be placed in the space 
containing the elevator equipment. 








o 











X 






3.5.6 Falling from Working Areas 

Means shall be provided to sufficiently mitigate the 
risk to elevator personnel of falling from any 
working area. 




o 




o 











X 







(Continued) 



March 2007 



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D 



51 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Table A-4 (Concluded) 
Cross-Ref erencing of GESRs in Part 3 and Elevator Sub-Systems 

Elevator Sub-System [see A-4. 2 for symbols] 



GESR # Global essential safety requirement in Part 3 B 


C 


E 


G 


H 


L 


M 


Sf 


Sp 


w 


Ap 


RA 


3.5.7 LCU (Car) Movement under Control of Elevator 
Personnel 

Only elevator personnel shall be provided with 
means to prevent or to enable the movement of 
the LCU (car) when they are in the travel path. 
When elevator personnel are within reach of 
unprotected moving parts of the elevator, they 
shall be able to prevent or activate movement of 
the elevator equipment. 


X 









o 









X 






3.5.8 Uncontrolled, Unintended Equipment 
Movement inside the Hoistway 

Means shall be provided to protect elevator 
personnel from the effects related to uncontrolled 
or unintended movement of equipment inside the 
hoistway. Any acceleration or deceleration to 
which elevator personnel are subjected as a result 
of uncontrolled or unintended movement shall be 
limited to sufficiently mitigate the risk of harm. 


X 






O 







o 




X 






3.5.9 Means of Protection from Various Hazards 

Means shall be provided to adequately protect 
elevator personnel in working spaces from the 
effects of shearing, crushing, abrasion, laceration, 
high temperature, or entrapment. 


o 























X 






3.5.10 Falling Objects in Hoistway O 

While in the hoistway, elevator personnel shall be 
adequately protected from falling objects. 




















X 






3.5.1 1 Electric Shock in Working Spaces 

Equipment shall be designed and installed to 
minimize harm to elevator personnel due to the 
effects of electricity. 


X 







O 













X 






3.5.12 Illumination of Working Spaces 

All working spaces and access thereto shall be 
provided with adequate illumination for the use of 
elevator personnel. 





O 







o 








X 







52 



March 2007 



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D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, inc. Performance-based safety code for elevators and escalators 

NONMANDATORY APPENDIX B 
SAFETY PARAMETERS 

B-1 

SPs related to each GESR are listed in the 4th column of Nonmandatory Appendix Table B-l . Most 
parameters are extracted from ASME A1 7.1 /CSA B44 requirements that are referenced in the 3rd column. 
Other parameters are taken from ISO or Euronorm (EN) or other standards, with reference given also in 
the 3rd column. 

B-2 

SPs in the 4th column of Nonmandatory Appendix Table B-1 are examples of achieving compliance. The 
SPs given are not expected to be applicable to all designs. This list is not comprehensive, and designers 
might not find SPs in Nonmandatory Appendix Table B-1 for particular designs. 

B-3 

The table follows the sequence (and text) of CESRs (see Part 3 of this Code). 

B-4 

Where PES functions are new or deviate from those referenced in Nonmandatory Appendix Table B-1, 
ASME A1 7.1 /CSA B44, methods for the determination of the required SIL should be performed according 
to IEC 61 508-5. The mean target failure frequency for the highest severity for a single potential risk 
scenario should not exceed a frequency of 5 x 1 0" 7 /year. 

A non-SIL rated PES may be used if a target failure measure does not require an SIL 1 or greater. 

If an SIL higher than SIL 3 is required, consideration should be given to system redesign such that the 
required target failure measure will be satisfied with SIL 3 or lower. Alternatively, risk reduction may be 
allocated over several SIL rated PES devices of SIL 3 or lower that have adequate levels of independence. 

NOTE (B- 1.4): Applications that require the use of a single safety function of SIL 4 are not typically used in the elevator 
industry because of the difficulty of achieving and maintaining such high levels of performance throughout the safety life 
cycle. 



March 2007 53 



Copyright © 2007 by the American Society of Mechanical Engineers. 
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D 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.1 3.1 COMMON GESRs RELATED 

TO PERSONS AT DIFFERENT 
LOCATIONS 



3.1.1 3.1.1 Supports for Elevator 
Equipment 

The means used to support the 
elevator equipment shall be capable 
of sustaining all loads and forces 
(including impact forces) imposed 
during normal and emergency 
operation. 

NOTE (3. 1. 1): The forces referred to in 
3.1.1 are those that result from the 
intended use, and reasonably 
foreseeable overload, of the elevator 
during normal operation (loading, 
unloading, acceleration, braking, etc.) 
and emergency operation (safety 
operation, buffer impact, etc.) 

Additional NOTE (3. 1. 1): For support of 
the LCU (car) and counterweight, if 
applicable, see CESR 3.4.2 



2.9.4.1 



2.9.5 



2.9.3.2 



2.23.2.1 



2.23.5.1 



3.1.1.1 Stresses in machinery and sheave beams, 
floors, and supports not to exceed 80% of those 
permitted for static loads in 

(a) for Structural Steel: A!SC Manual for Steel 
Construction -Allowable Stress Design - 
ninth edition, or CAN/CSA-S16.1; and 

(b) for Reinforced Concrete: ANSI/ACI 318 or 
CSAA23.3. 



3.1.1.2 Deflections in machinery and sheave 
beams and supports under static load not to 
exceed 1 /1 666 of span. 

3.1.1.3 Anchor bolts to meet or exceed 
requirements of ASTM A307. Tensile stress in 
bolts < 85 MPa, shear stress < 60 MPa. 
Proportionately higher stresses permitted for 
strengths exceeding ASTM A307 requirements. 

3.1.1.4 Steel where used for rails, brackets, 
fishplates, and rail ciips to have a tensile strength 
> 380 MPa and an elongation > 22% in a length 
of 50 mm when measured in accordance with 
ASTM E8. Bolts to conform to ASTM A307, rivets 
to conform to ASTM A502. Where steels of 
greater than specified are used, the stress may 
be increased proportional to the UTS. 

3.1.1.5 Stresses in guide rails and joints for steel 
conforming with 3.1 .1 .4 not to exceed 1 05 MPa 
and deflections not to exceed 6 mm due to 
horizontal forces imposed during loading, 
unloading, or running, without impact. 



See 4.2.2. 



54 



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© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



2.23.5.2 



2.23.4.1 



2.23.4.3.1 



2.23.9.2.1(b) 



2.23.5.3 



3.1.2 3.1.2 Elevator Maintenance 

Where maintenance is required to 
ensure continued safety, appropriate 
instructions shall be provided, and 
elevator personnel shall perform any 
required work. 

NOTE (3.1.2): This applies to the 
elevator system, sub-system, 
component, or function that is subject 
to wear and tear, not to those designed 
for maintenance-free operation. 
Adequate maintenance is a key element 
in keeping the elevator in safe operating 
condition. The objective of this CESR is 
to require that only elevator personnel 
perform maintenance work. 



3.1.1.6 Brackets, fastenings, and supports to 
resist horizontal forces on rails with a deflection 
at point of support < 3 mm. 

3.1.1.7 Bracket spacing for guide rails to be 
chosen to ensure that buckling loads, stresses, 
and deflections during safety application do not 
exceed equivalent values to those that would be 
obtained by using ASME A1 7.1 /CSA B44, 

Fig 2.23.4.1-1 and Table 2.23.4.2, as applicable. 

3.1 .1 .8 Bracket spacing for guide rails for 
counterweights not provided with safeties and 
the mass of counterweights to be chosen to 
ensure that stresses and deflections do not 
exceed equivalent values to those that would be 
obtained by using ASME A1 7.1 , Table 2.23.4.3.1 . 

3.1 .1 .9 If clip fastenings are used to secure 
brackets to building structure, the friction force 
in direction of motion to have a minimum factor 
of safety of 1 0. Horizontal shear to be resisted 
with a means having a factor of safety > 5. 

3.1.1.10 If the guide rails are used to retard the 
car or counterweight during emergency braking, 
the maximum stress with all loads acting 
simultaneously < 1 90 MPa. 

3.1.2.1 GESR is self-explanatory. 



March 2007 



c 



55 



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4&k 



ASMEA17.7-2007/CSA B44J-07 



© Canadian Standards Association 
€> American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.1.3 3.1.3 Equipment Inaccessible to 
Users and Non-Users 

Equipment that is hazardous shall not 
be directly accessible to users and 
non-users. 

NOTE (3.1.3): Locations that are not 
accessible include equipment behind an 
enclosure, a locked cover or door, or in 
an out-of-reach location. 

3.1.4 3.1.4 Floors of the LCU (Car) and 
Working Areas 

The floors of the LCU (car) and 
standing areas of workplaces shall 
minimize the risk of tripping and 
slipping. 

NOTE (3.1.4): LCU (car) and working 
area floors should be reasonably level, 
which means that they do not present a 
perceptible slope. When considering 
non-slip materials, attention should be 
paid to the fact that the roughness of a 
material does not remain consistent 
over time and can vary depending on 
housekeeping operations (e.g., 
cleaning) 

3.1.5 3.1.5 Hazards Due to Relative 
Movement 

Users and non-users shall be 
protected from the effects of 
shearing, crushing or abrasion, or 
other injuries due to 

(a) relative movement of the LCU 
(car) and external objects; and 

(b) relative movement of the 
elevator equipment. 

NOTES (3.1.5): 

(1) For elevator personnel, see 3.5.9. 

(2) This GESR addresses the safety of 
persons located inside and outside 
the LCU (car). 

Additional Note: (3) This GESR also 
requires protection for non-users located 
below the hoistway in case of 
catastrophic failure resulting in free-fall 
of CWT or any other heavy elevator 
equipment. 



2.1.1.3 
ISO 13852 
2.1.1.3 



2.14.1.9.2 



2.1.1.3 
ISO 13852 
2.1.1.3 



3.1.3.1 Place equipment out of reach of users 
and non-users: 

(a) at least 1500 mm away; 

(b) in compliance with ISO 1 3852 - Table 2: or 

(c) behind protection > 2400 mm high. 



3.1.4.1 No projections or depressions > 6 mm. 

NOTE (3.1.4. 1): The user is referred also to ANSI 
A1264.2 and AS/NZS 4586- 1 999 for further 
information. 



3.1.5.1 Place equipment out of reach of users 
and non-users: 

(a) at least 1 500 mm away; 

(b) in compliance with ISO 1 3852 - Table 2; or 

(c) behind protection > 2400 mm high. 



56 



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No reproduction may be made of this material without written consent of ASME. 



D- 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards 



SPs 



3.1.6 



3.1.7 



3.1.6 Locking Landing Doors and 
Closing LCU (Car) Doors 

Any movement of the LCU (car) that 
is hazardous to persons shall be 
stopped if any hoistway door is open 
or unlocked or the LCU (car) door is 
not closed. 

NOTES (3.1.6): 

(1) Hoistway and car doors, including 
auxiliary doors or covers intended 
for use by elevator personnel only 
(e.g., evacuation doors), must be 
considered. 

(2) leveling, re-leveling (as well as 
truck load operation), and 
hoistway access operation are not 
considered to be hazardous 
movements. 



3.1.7 Evacuation 

Means and procedures shall be 
provided to enable trapped users or 
elevator personnel to be safely 
released and evacuated. 

NOTE (3.1.7): The elevator system 
should have means that would permit 
the movement of the LCU (car), under 
control of elevator personnel, to the 
point of an evacuation opening. 
Alternative means that do not require 
movement of the LCU (car) are not 
excluded. Extreme cases of LCU (car) 
blockage (due to safety setting, material 
damaged due to earthquakes, etc.) can 
require external means, appropriate 
instructions and tooling. 



2.12.2.2 3.1.6.1 If hoistway door is open > 10 mm, car 

must not move if it is outside the following 
zones: 

2.26.1.6.7 (a) 75 mm for static control; 

2.26.1.6.3 (b) 450 mm for other controls; and 

2.26.1 .6.4 (c) 1 700 mm for trucking zones. 

2,26.1 .6.6 3.1 .6.2 Within the zones, car speed is 0.75 m/s if 

2.1 4.4.1 1 hoistway door is open > 1 mm or car door is 

open >50 mm. 

3.1.6.3 If PES devices are used for detection of 
the following states of doors, the devices should 
have SIL> 3: 

(a) closed and locked hoistway doors; 

(b) closed position of car door; and 

(c) closed and locked position of car door. 

3.1.6.4 If PES devices are used for determination 
of the closed state of the following openings, the 
devices should have SIL > 2: 

(a) car top emergency exit; 

(b) blind hoistway access door; and 

(c) pit access door. 

3.1.7.1 If emergency exits are used: 

(a) car top - minimum sizes: 

• area 0.26 m 2 ; and 

• any side 400 mm. 

(b) single blind hoistway - at least every 1 1 m 
provide doors in the hoistway enclosure of 
minimum size: 

• width 700 mm; and 

• height 2030 mm. 

2.5.1 .5.1 (b) (c) car sill to hoistway enclosure clearance 

< 1 25 mm for full width of car opening. 

2.14.4.5.1 (d) car door face to hoistway door face 

distance < 140 mm. 

3.1.7.2 If PES devices are used for determination 
of the closed state of the following openings, the 
devices should have SIL > 2: 

2.26.2.1 8 (a) car top emergency exit; and 

2,26.2.25 (b) blind hoistway access door. 



2.26.2.14 
2.26.2.15 
2.26.2.28 



2.26.2.18 
2.26.2.25 
2.26.2.26 



2.14.1.5.1 



2.11.1.2 



March 2007 



I No 



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y 



57 



ASME A1 7. 7 -200 7 /CSA B44J-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



2.26.4.1 
2.26.4.2 



3.1.8 3.1.8 Sharp Edges 2.11.11.5.5 
Means shall be provided to sufficiently 

mitigate the risk to users and 
non-users of exposure to sharp edges. 

NOTE (3.1.8): For elevator personnel, 
see 3.5. 

3.1 .9 3.1 .9 Hazards Arising from the Risk 
of Electrical Shock 

Where electricity is provided, means 
shall be provided to sufficiently 
mitigate the risk to users and 
non-users of exposure to electrical 
shock and related hazards. 

NOTES (3.1.9): 

(1) CSAB44.1/ASMEA17.5, 
ANSI/NFPA 70, and/or CSA C22. 1 
embody the fundamental principles 
of protection for safety that 
encompass protection against 
electric shock, protection against 
thermal effects, protection against 
overcurrent, protection against fault 
current, and protection against 
over-voltage. See also Section 7 3 1 
of I EC 60364-1. 

(2) For elevator personnel, see 3.5. 

3.1.10 3.1.10 Electromagnetic 2.26.4.4 
Compatibility EN 12016 
The safe operation of an elevator shall 

not be influenced by electromagnetic 
interferences. 



3.1.8.1 No areas on surfaces to be depressed or 
raised > 3 mm. 

3.1.8.2 Edges must be beveled < 30 degrees to 
surface. 



3.1.9.1 Meet applicable requirements of 

(a) NFPA 70 or CSA 22.1 as applicable; and 

(b) CSA B44.1/ASME A17.5 as applicable. 



3.1.10.1 Meet applicable requirements of 

EN 1 201 6 as specified in ASME A1 7.1 /CSA B44. 



3.1.11 



NOTE (3.1.1 0): The immunity should 
be sufficient to prevent unsafe situations 
if the elevator is submitted to 
foreseeable radiation. "Immunity" 
includes immunity to internal influences 
(self-generated radiation) and immunity 
to external influences. 

3.1.11 Illumination of LCU (Car) 
and Landings 

The LCU (car) and landings shall be 
provided with adequate illumination 
during use. 



2.14.7.1.2 
2.14.7.1.3 

2.11.10.2 



3.1.11.1 illumination: 

(a) at car thresholds 50 Ix; 

(b) in car 1 225 mm above floor, 300 mm from 
operating device > 2 Ix for 4 h during power 
loss. See also CSA C22.2 No. 141; and 

(c) at landing sills > 100 Ix. 



58 



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March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Noil mandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



NOTE (3. 1. 11): "Adequate 
illumination " means that the level of 
light is sufficient for safe access and 
operation of the elevator control devices, 
including the following: 

(a) detecting leveling inaccuracy; 

(b) operating landing and LCU (car) 
controls; and 

(c) mitigating user's panic in the case of 
power outage. 

3.1.12 3.1.12 Effects of Earthquake 

In areas subject to earthquake, means 
shall be provided to minimize the risk 
to users, when inside the LCU (car), 
and elevator personnel of the 
foreseeable effects of earthquakes on 
the elevator equipment. 

NOTE (3.1.12): The effects on the 
safety of users and elevator personnel 
need to be considered at all stages: 
during the earthquake (as much as 
possible), during rescue from a stalled 
LCU (car), and when the elevator is 
returned to normal operation. This 
assumes that there is no major building 
failure. 

3.1.13 3.1 .1 3 Hazardous Materials 

The characteristics and quantity of 
material used for the manufacture 
and construction of the elevator shall 
not lead to hazardous situations. 

NOTE (3. 1.13): Hazardous situations 
for users, non-users, and elevator 
personnel refer to toxicity, fumes, 
exposure to chemicals, fiammabiiity, 
exposure to asbestos, etc 



8.4 
ASCE7 



2.14.2.1.1 



2.14.2.1.5 



2.14.2.1.3 



2.14.2.1 



3.1.12.1 Meet requirements of building code, 
depending on seismic risk zone, soil conditions, 
building use, building type, and location of the 
equipment in the building. 



3.1.13.1 U.S. 

For elevator car enclosures: 

(a) Flame spread rating < 75. 

(b) Smoke development < 450. 

(c) Tests for (1 )(a) and (1 )(b) per ASTM E84, UL 
723, orNFPA255. 

(d) Floor covering radiant flux > 0.45 W/cm 2 
per ASTM E648. 



(e) Napped, tufted, woven, or looped materials 
on walls to meet 8.3.7.3 and 8.3.7.4 of 
ASMEA17.1/CSAB44. 



3.1.13.2 Canada 



All cars except as in B 3.1 .1 3.2(b): 
(a) Flame spread rating: 

2.1 4.2.1 (a) and ♦ walls: < 1 50 per CAN/ULC-S1 02; 

(b) • floors: < 300 per CAN/ULC-S1 02.2; and 

2.14.2.1(b)(4) • padding per National Fire Code, 

Subsection 2.3.2. 



March 2007 



c 



59 



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D 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards 



SPs 



3.1.14 3.1.14 Environmental Influences 

Users and elevator personnel shall be 
protected from environmental 
influences. 

NOTE (3. 1 . 14): Environmental 
influences include the foreseeable 
weather conditions of the area where the 
elevator is installed. Users and elevator 
personnel should be protected against 
direct exposure to the influences (e.g., by 
heating or cooling the LCU (car) or 
working space). The safety of users, 
elevator personnel, and emergency 
personnel should be considered in the 
event of a fire. In addition, there should 
be adequate protection of safety-related 
elevator elements that are susceptible to 
weather conditions. 



2.14.2.1(c)(1) 
2.14.2.1(c)(2) 



2.14.2.3.3 



2.14.2.3.1 



2.27.310 2.27.8, 
and 3.27.1 to 
3.27.3 



(b) Firefighters' cars: 

• flame spread rating for walls: < 25; and 

• smoke development: 

• walls: < 100; and 

• floors: < 300. 

3.1.14.1 Forced ventilation on observation 
elevators > 1 air change per minute (based on 
net inside car volume). 

3.1.14.2 Natural ventilation area > 3.5% inside 
car floor area (equally divided between top and 
bottom of car enclosure). 

3.1.143 Meet applicable requirements of ASM E 
A17.1/CSAB44. 



3.2 3.2 GESRs RELATED TO PERSONS 

ADJACENT TO THE ELEVATOR — 
FALLING INTO HOISTWAY 



3.2 3.2.1 

Means shall be provided to prevent 
the risk of users, non-users, and 
elevator personnel falling into the 
hoistway. 

NOTES (3.2): 

(1) This CESR addresses the risk of 
falling into the hoistway from 

(a) surrounding floors; 
and 

(b) landing doors when 
the LCU (car) is 
absent 

(2) This CESR also applies to 
emergency personnel. 



3.2.1.1 See also parameters for 3.1 .5. 

2.1 1 .1 1 .8 3.2.1.2 If entrances are provided: 

(a) the entrance panel(s) to withstand a 
horizontal force of 5000 N applied at 
right angles to the panel, distributed over 
300 mm x 300 mm area, in the direction of 
hoistway, with maximum displacement of 
20 mm; and 

(b) the entrance panel(s) to withstand a vertical 
force of 1 000 N while a horizontal force of 

1 1 00 N is applied at right angles to the 
panel, distributed over 300 mm x 300 mm 
area, in the direction of the hoistway, 
without permanent deformation or 
detachment. 

3.2.1.3 For other surrounding areas: Provide 
guarding complying with applicable building 
codes for galleries or balconies or open 
staircases. 



60 



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Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



33 3.3 GESRs RELATED TO PERSONS 

AT THE ELEVATOR ENTRANCE 



3.3.1 3.3.1 Access and Egress 

Safe means of access and egress shall 
be provided to the LCU (car) at 
landings. 

NOTE (3.3.1): This is applicable to the 
process of entering and leaving the LCU 
(car) during normal use and during 
Firefighters' Emergency Operations of 
the elevator. It suggests that adequate 
spaces, dimensions, operational 
instructions, and correct relative 
positioning of the LCU (car) at the 
landing should be provided. 



2.26.1.6.7 



2.26.1.6.6 



3.26.3.2 

2.26.11(a) 
ICC/ANSI A1 17.1 
and ADAAG 

2.26.11(b) 
ICC/ANSI All 7.1 
and ADAAG 



2.11.1.1 



2.11.10.1 



2.11.7.2.1 



2.11.7.2.2 

2.11.11.5.1 

2.14.5.6 

2.11.11.5.2 

2.11.11.5.4 



2.11.11.5.5 



2.13.4.2.1 



3.3.1.1 No movement with open doors 75 mm 
above or below the landing. 

3.3.1.2 Leveling speed to be limited within 
leveling zone: 

(a) < 0.75 m/s for static control electronic 
elevators; and 

(b) < 0.1 25 m/s for hydraulic elevators. 

3.3.1.3 Out of level distance < 1 3 mm on initial 
stop. 

3.3.1.4 Car should re-level if out of level 

> 25 mm; or if ICC/ANSI A1 1 7.1, ADAAG, or 
ASME A1 7.1 /CSA B44, Appendix E, applies, 

> 1 3 mm. 

3.3.1.5 Hoistway landing opening >2030 mm 
high, >800 mm wide. 

3.3.1.6 If a car leveling device is provided, 
landing sill guards must be metal > 1 .4 mm thick 
extending > 75 mm below leveling zone. 
Bottom of guard must be beveled in range 60° 
to 70° from horizontal. 

3.3.1.7 Glass in hoistway doors: 

(a) to conform with 1 6 CFR Part 1 201 or 
CAN/CGSB-12.1;and 

(b) to be > 60% of visible panel surface area. 

3.3.1.8 Door panels to overlap top and sides of 
opening and each other in multispeed 
entrances, by > 1 3 mm. 

3.3.1.9 Clearances between moving panels, 
relative to each other and stationary members, 
<10 mm. 

3.3.1.10 If provided on center opening door 
edges, resilient members to interlock 

<10 mm. 

3.3.1.11 No areas depressed or raised > 3 mm. 
Edges beveled < 30° to panel surface. 



March 2007 



61 



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m 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
) American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.3.2 3.3.2 Horizontal Sill-to-Sill Gap 

The horizontal gap between the sill of 
the LCU (car) and that of the landings 
shall be limited. 



2.13.4.2.2 



2.13.4.2.3 

2.27.3 to 2.27.8, 

and 3.27.1 to 
3.27.3 

2.5.1.4 



3.3.1.12 Closing KE of automatic doors: 

(a) With reopening device: 

• KE (peak) < 23 J based on peak closing 
speed in the code zone distance; and 

• KE (average) < 1 j based on average 
closing speed in the code zone distance. 

(b) Without a reopening device: 

• KE (peak) < 8 J based on peak closing 
speed in the code zone distance; and 

• KE (average) < 3.5 J based on the average 
closing speed in the code zone distance. 

3.3.1.13 Code zone distance: 

(a) For side slide doors - 50 mm from fully 
open jamb line to 50 mm from fully closed 
jamb line. 

(b) For center opening doors - 25 mm from 
fully open jamb line to 25 mm from 
meeting point of the doors. 

3.3.1.14 Door closing force < 1 35 N measured at 
any point between 1/3 and 2/3 of its travel. 

3.3.1.15 Meet applicable requirements of ASME 
A17.1/CSAB44, 



3.3.2.1 Gap < 32 mm. 



NOTE (3.3.2): The measurement is 
taken in direction of motion of users 
traversing the sill. Children who are able 
to walk should be considered. The sizes 
of wheelchair wheels and walking aids 
should also be taken into account. 

3.3.3 3.3.3 Alignment of LCU (Car) and 
Landing 

When users enter or exit the LCU 
(car), its platform and landing floor 
shall be substantially aligned. 

NOTE (3.3.3): The step caused by the 
variation of the LCU (car) load should 
be limited to avoid stumbling on the 
part of users; the step should be small 
enough to allow safe access for all 
users, including persons with impaired 
mobility. 



3.3.3.1 SeeSP 3.3.1.3. 



62 



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m 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.3.4 3.3.4 Self-Evacuation from an LCU 
(Car) 

Self-evacuation of users shall be 
possible only when the LCU (car) is at 
or near a landing. 

NOTE (3.3.4): "Near a landing" 
means that the LCU (car) is not too far 
away from the landing and that the risk 
of tripping or falling is minimal. 
Furthermore, any gaps between the 
LCU (car) entrance opening, when the 
LCU (car) entrance is opened manually 
by users attempting self-evacuation, 
and the hoistway enclosure or the 
landing entrance, which faces the 
opened LCU (car) entrance, should be 
as small as possible, to prevent users 
from passing through the gaps and 
from falling into the hoistway. 

3.3.5 3.3.5 Cap between the Landing 
Doors and LCU (Car) Doors 

The space between the landing doors 
and LCU (car) doors shall not allow 
the presence of users. 

NOTE (3.3.5): This GESR aims to 
prevent persons, including children, 
from entering into the space between 
the LCU (car) and landing doors. The 
following are examples where this 
situation can arise: 

(a) multiple panels on the LCU (car) 
and landing doors, with loose 
synchronization; or 

(b) combinations of swing landing 
doors and sliding LCU (car) doors. 

3.3.6 3.3.6 Means to Reopen Doors when 
LCU (Car) is at Landing 

Means shall be provided to reopen 
the LCU (car) and landing doors if 
their closing is obstructed when the 
LCU (car) is at the landing. 



2.14.5.7 
2.12.5 



2.26.2.28 



3.3.4.1 Doors to be openable > 1 00 mm from 
inside the car only when car floor is within 

1 75 mm of the landing floor. Manual force to 
open doors < 330 N. 

3.3.4.2 If PES device is used to detect closed and 
locked position of car door: SIL > 3. 



2.14.4.5.1 



3.3.5.1 Swing hoistway door/car gate gap 
<100 mm. 

3.3.5.2 Swing hoistway door/car door gap 
< 140 mm. 

3.3.5.3 Slide hoistway door/car door or gate gap 
<140 mm. 



2.13.5.1 



3.3.6.1 Door reopening device to be effective if 
kinetic energy > 3.5 ]. 



March 2007 



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D 



ASMEA 17. 7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



NOTE (3.3.6): Obstacles interfering with 
door movement should be detected. The 
movement of the doors and the LCU 
(car) should be prevented until the 
obstacle is removed or door closing speed 
and force is limited. Examples of 
obstacles are parts of a user's body, 
trolleys, wheelchairs, etc. 



3.4 3.4 GESRs RELATED TO PERSONS 

IN THE LCU (CAR) 



3.4.1 3.4.1 Strength and Size 

The LCU (car) shall accommodate 
and support the rated load and a 
reasonably foreseeable overload. 

NOTE (3.4. 1): This CESR is primarily 
addressing transportation of people. 
"Accommodate" in this context means 
to provide space (volume) for the 
intended number of users, considering 
the dimension and weight of persons. 
The foreseeable overload, in terms of 
users, means: 

(1) the load normally carried by users 
(e.g., briefcase, luggage, but 
without tools such as trolleys); 

(2) the possibility of users taller or 
heavier than average; and 

(3) the possibility of more users than 
the LCU (car) is designed for. 



8.2.1.1 
8.2.1.2 



2A622 



2.16.8 



Table 2.1 5.1 0.1 



2.15.6.2 



2.15.6.2.3 

2.15.10.1 
Table 2.1 5.1 0.1 



3.4.1.1 Minimum rated load for passenger 
elevators and freight elevators permitted to carry 
passengers to be determined using 8.2.1.1 and 
8.2.1.2, as applicable. 

3.4.1.2 Minimum rated load for Class A and C 
freight elevators >240 kg/m 2 of net inside area. 
For Class B freight elevators > 1 45 kg/m 2 . 

3.4.1.3 Reasonably foreseeable overload for 
passenger elevators and freight elevators 
permitted to carry passengers = 25% rated load. 

3.4.1.4 Strength of car frame, platform 
members, and connections based on rated 
(static) load. 

(a) Maximum allowable stresses in car frames, 
platform members, and connections to 
conform with Table 2.1 5.1 0.1 for the 
following materials: 

• rolled and formed steel conforming to 
ASTM A36 or ASTM A283 Grade D or 
CAN/CSA-G40.21; 

• forged steel conforming to ASTM A668 
Class B; 

• cast steel conforming to ASTM A27 
Grade 60/30; 

• steel rivets conforming to ASTM A502; 
and 

• steel bolts and rods conforming to ASTM 
A307. 

(b) Steels having a % elongation in 50 mm > 
20% per ASTM E8 and materials other than 
steels to have maximum allowable stresses 
listed in Table 2.1 5.1 0.1 adjusted 
proportionally, based on the ratio of 
ultimate tensile strengths. 



64 



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No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 

€> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.4.2 3.4.2 LCU (Car) 

Support/Suspension 

Means shall be provided to support 
the fully loaded LCU (car) and a 
reasonably foreseeable overload. 

NOTE (3.4.2): This addresses the 
strength and failure of the suspension 
means, when the LCU (car) is loaded 
with its rated load. It is, however, 
understood that the integrity of the 
elevator would be maintained if the 
foreseeable overload condition were 
reached. The rated performances, 
however, can be affected if the rated 
load is exceeded 



2.15.11 

8.2.2.5.3 

2.15.7.3.3 
2.15.6.4 



2.243 



2.24.3.1 



ASMEA17/CSA 
B44 

2.20.3 
Table 2.20.3 



2.20.9.1(a)(2) 



3.18.2.1.1 



(c) The deflection of crosshead, plank, and 
platform members, based on the rated 
(static) load imposed on them, to be 

< 1/960 of span. 

(d) The moment of inertia of uprights, based on 
rated (static) load, to be > value determined 
using 8.2.2.5.3. 

(e) Welding where used to conform to 8.8. 

(f) Wood used for platform stringers, floors, 
and sub-floors to conform to the applicable 
requirements of 

• ASTM D245, Structural Grades of 
Lumber; and 

• ASTM D1 98, Static Tests of Structural 
Timber. 

• ANSI Voluntary Product Standard PS-1 -74 
or CSA 01 51, Softwood, Plywood, 
Construction and Industrial. 

3.4.2.1 Driving machines, sheaves and drums: 

(a) Based on rated load, the factor of safety 
(FOS) for materials with percentage 
elongation in 50 mm per ASTM E8 to be as 
follows: 

• FOS > 8 for materials with % elongation 
> 1 4%; and 

• FOS > 1 for material with % elongation 
< 1 4%. 

(b) The factor of safety for components 
subjected to alternating or reversing stresses 
to be > 1 .5 using endurance strength based 
on 10 7 cycles. 

3.4.2.2 Suspension means to meet applicable 
requirements of ASME A1 7.1 /CSA B44. 

(a) Steel wire suspension ropes minimum 
factors of safety to meet Table 2.20.3. Factor 
of safety to be calculated per formula in 
2.20.3. 

(b) Rope fastenings strength > 80% ultimate 
breaking strength of suspension member. 

3.4.2.3 Hydraulic jacks and pressure piping: 
(a) Hydraulic plungers: 

• tensile, compressive, bending and 
torsional loading factors of safety > 5 
based on ultimate tensile strength; 



March 2007 



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No reproduction may be made of this materia) without written consent of ASME. 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
> American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.4.3 3.4.3 Overloaded LCU (Car) 

Means shall be provided to prevent 
an overloaded LCU (car) from 
attempting to leave a landing. 

NOTE (3.4.3): In this context "to 
prevent from attempting to leave a 
landing f/ means that the drive system 
(motor controller) of the hoisting 
machine will not be activated. When 
the overload condition is detected, no 
command will be processed. This does 
not cover rope stretch, loss of traction, 
etc. It is, however, understood that the 
integrity of the elevator would be 
maintained if the foreseeable overload 
condition were reached. 

3.4.4 3.4.4 Falling from an LCU (Car) 

Means shall be provided to prevent 
users from falling from the LCU (car). 

NOTE (3.4.4): Compliance with this 
GESR can be achieved by guards, 
barriers, or walls around the perimeter 
of the LCU (car) platform. Protection at 
any opening between the LCU (car) and 
the hoistway walls that a user could 
pass through is also required by this 
GESR. A typical opening is the gap 
between the edges of the LCU (car) and 
the landing door panels. 



8.2.8.1 

8.2.8.1.3 

8.2.8.5.1 

8.2.8.5.2 

3,19.3.3.1 



• for elastic stability, steel plungers to meet 
requirements of 8.2.8.1; and 

• plungers subject to external pressure to 
meet requirements of 8.2.8.1 .3. 

(b) Hydraulic cylinders, piping and components 
subject to internal pressure: 

• minimum FOS to be determined using 
8.2.8.5.1; and 

• allowable stress to be determined using 
8.2.8.5.2 

(c) Flexible pressure hose to have a minimum 
FOS of 1 0. 

3.4.3.1 GESR is self-explanatory. 



2.14.1.3 



3.4.4.1 Barriers: Strength 330 N, applied 
perpendicular to any point along the LCU 
enclosure. 



66 



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D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Non mandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.4.5 



3.4.6 



3.4.5 LCU (Car) Travel Path Limits 

The vertical travel of the LCU (car) 
shall be limited to prevent the LCU 
(car) from uncontrolled running 
beyond the travel path. 

NOTE (3.4.5): Means should be 
provided for safe stopping of the LCU 
(car) at the end of the travel path. Safe 
stopping involves no damage to the 
equipment and no harm to passengers 
in the LCU (car). The "end of travel 
path" includes a certain overrun from 
the terminal landing position. 



3.4.6 Uncontrolled, Unintended 
Movement of an LCU (Car) 

Means shall be provided to limit 
uncontrolled or unintended 
movement of the LCU (car). 

NOTE (3.4.6): This GESR aims to 
protect against the effects resulting 
from the movement of the LCU (car) at 
a speed exceeding the designed speed 
and also to prevent effects resulting 
from unexpected starts of LCU (car) 
movement Examples of such 
occurrences are travel of the LCU (car) 
towards terminal landings at a speed 
exceeding its rated speed, or movement 
of the LCU (car) away from a landing 
when doors are open and users are 
entering or exiting. An example of the 
foreseeable failures that can cause such 
occurrences is the breakdown in 
elevator components such as speed 
control, driving machine, or braking 
system. Such failures could occur as a 
result of mechanical or electrical control 
malfunctions. 



2.26.2.11 



2.26.2.12 



2.26.2A6 



2.18.4.2 
Table 2.1 8.2.1 

2.18.4.2.1 

2.18.4,2.2 

2.18.4.2.3 



2.18.4.2.4 
Table 2.1 8.2.1 



2.26.2.10 



2.19.1.2(a) 



2.19.3.2(a) 



3.4.5.1 If PES devices are used for following 
functions, the device should have: 

(a) SIL > 1 to remove power from the driving 
means at the terminal limits; and 

(b) SIL > 2 to limit speed at terminals to rated 
striking speed for end of terminal 
retardation means (buffer) not designed for 
rated speed; or 

(c) SIL > 1 to limit speed at terminals to rated 
striking speed for end of terminal 
retardation means (buffer) designed for 
rated speed. 

NOTE (A 3.4.5. 1): This Code cannot specify 
distances and spaces beyond terminal landings. It 
is up to the designer to decide in accordance with 
clarifications in NOTE (3.4.5). 

3.4.6.1 Detection of overspeed in down 
direction and removal of power driving machine 
motor and brake is required for rated speed, V: 

(a) For 0.75 < V < 2.5 m/s act when elevator 
speed < 90% of speed in Table 2.1 8.2.1 . 

(b) For V > 2.5 m/s act when elevator speed < 
95% of speed in Table 2.1 8.2.1 . 

(c) For elevators with static control act when 
elevator speed < 90% of speed in Table 
2.18.2.1. 

3.4.6.2 Detection of overspeed in up direction 
and removal of power from driving machine 
motor and applying brake is required for speed 
< 100% of speed set in down direction per 
Table 2.1 8.2.1. 

3.4.6.3 If a PES device is used to detect car 
overspeed in SP 3.4.6.1 and SP 3.4.6.2 up or 
down directions, the device to have SIL > 2. 

3.4.6.4 Detect overspeed up direction at speed < 
1 .1 times governor trip speed in Table 2.1 8.2.1 : 

(a) Decelerate LCU at any rate < 9.8 m/s 2 with 
any load to 125% rated load. 



March 2007 



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D 



ASMEA17.7-2007/CSA B44J-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.4.7 



3.4.8 



3.4.7 LCU (Car) Collision with 
Objects in or beyond Travel Path 

Means shall be provided to avoid 
collision of the LCU (car) with any 
equipment in the travel path that 
could cause injuries to users. 

NOTE (3.4.7): Means should be 
provided to prevent the LCU (car) from 
colliding with any equipment in the 
hoistway There should be LCU (car) 
guards or enclosures of adequate 
strength to avoid dangerous deflection 
due to horizontal forces. Deflection and 
deformation of the guards or enclosure 
should be limited so that they do not 
create a hazardous situation. This CESR 
also addresses cases where the LCU 
(car) or counterweight reaches the 
structural terminals of the hoistway 
Eventual impact should be buffered so 
that it is not harmful. 



3.4.8 LCU (Car) Horizontal and 
Rotational Motion 

Horizontal or rotational motion of the 
LCU (car) shall be limited to 
sufficiently mitigate the risk of injury 
to users and elevator personnel. 

NOTE (3.4.8): Horizontal and 
rotational free movement of the LCU 
(car) is to be limited to prevent users 
from losing balance and falling. 



2.26.2.29 

2.19.2.2(b) 

2.26.2.30 



2.5.1.1 
2.5.1.2 
2.5.1.2 
2.5.1.2 
2.5.1.2 
2.5.1.3 
2.5.1.4 



2.26.23 



2.26.2.13 
2.26.2.22 

5.1.20.6.1 
5.1.20.6.2 



(b) If a PES device is used for function in 
3.4.6.4(a), the device to have SIL > 2. 

3.4.6.5 Detect unexpected LCU movement away 
from landing from rest, with doors open: 

(a) Stop and hold LCU with any load up to 

1 25% of rated load within 1 220 mm up or 
down. 

(b) If a PES device is used to detect movement 
in 3.4.6.5(a), the device to have SIL > 2. 

3.4.7.1 Horizontal clearances: 

(a) car side to hoistway enclosure > 20 mm; 

(b) car to counterweight > 25 mm; 

(c) car to CWT guard > 20 mm; 

(d) CWT to CWT guard > 20 mm; 

(e) CWT to hoistway enclosure > 20 mm; 

(f) between two cars > 50 mm; and 

(g) car to landing sills > 1 3 mm, < 32 mm, side 
guide; and 

(h) car to landing sills > 20 mm, < 32 mm, 
corner guide. 

3.4.7.2 If a PES device is for detection of the 
following malfunctions, and/or subsequent 
stopping of the machine, the device should 
have: 

(a) for loss of tension in, and/or guidance of, 
cabling (such as compensating ropes) in the 
hoistway attached to the car SIL > 2; and 

(b) for potential malfunction of the stand-by 
means for mechanical retardation of car: 

• SIL > 1 in the travel path (such as buffer 
on type C safeties not fully extended or 
lacks oil); or 

• SIL > 3 beyond the travel path (such as 
gas-return oil buffer not fully extended). 

3.4.8.1 Average horizontal acceleration 
<0.98 m/s 2 . 

3.4.8.2 No peak horizontal acceleration 
> 0.98 m/s 2 should have a time duration 
exceeding 0.125 s. 



68 



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March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this materia] without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.4.9 3.4.9 Change of Speed or 
Acceleration 

Means shall be provided to ensure 
that any change of speed or 
acceleration of the LCU (car) shall be 
limited to minimize the risk of injury 
to the users. 

NOTE (3.4.9): This covers changes of 
speed and acceleration of the LCU (car) 
for both normal and emergency 
operations. In the case of an extreme 
emergency [such as stopping a 
free-falling LCU (car)], the possibility of 
minor injuries could be tolerated, due to 
the extremely remote probability of such 
an occurrence. 

3.4.10 3.4.10 Objects Falling on the LCU 
(Car) 

LCU (car) users shall be protected 
from falling objects. 

NOTE (3.4. 1 0): Falling objects are 
those that can be reasonably expected 
as a result of misbehavior, carrying 
tools, or similar activities. Open 
hoistway installations can also be 
subject to acts of vandalism (objects 
thrown from outside). Falling water is 
not addressed by this GESR. 

3.4.1 1 3.4.1 1 LCU (Car) Ventilation 

Adequate ventilation shall be 
provided to the LCU (car). 

NOTE (3.4. 7 1): The intent of this GESR 
is to provide trapped passengers with 
sufficient air renewal. It is accepted that 
normal operation does not require 
particular measures due to the air 
exchange from door movement and the 
fact that journeys are relatively short. 

3.4.12 3.4.12 Fire/Smoke in LCU (Car) 

The interior of the LCU (car) shall be 
constructed of materials that are 
fire-resistant and that develop a low 
level of smoke. 



8.2.6 



2.22.4.1.1 



2.22.4.2 



2.14.2.3.3 



2.14.2.3.1 



3.4.9.1 Deceleration rates < 9.81 m/s 2 . 

3.4.9.2 Average retardation with 1 1 5% of rated 
speed < 9.81 m/s 2 . 

3.4.9.3 No peak retardations > 24.5 m/s 2 for 
durations > 0.04 s, with 1 1 5% of rated speed. 



3.4.10.1 GESR is self-explanatory. 



3.4.11.1 Forced ventilation on observation 
elevators > 1 air change per minute (based on 
net inside car volume). 

3.4.11.2 Natural ventilation area > 3.5% inside 
car floor area (equally divided between top and 
bottom of car enclosure). 



3.4.12.1 See SPs related to GESR 3.1 .1 3 for 
parameters related to materials for interior of 
LCU (car). 



March 2007 



69 



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m 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Non mandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



NOTE (3.4, 12): The nature and 
quantity of the materials used in the LCU 
(car) (e.g., decorations) can be a serious 
source of harm during a fire. Factors that 
need to be considered include fire 
resistance, toxicity etc., of materials. It 
is, however, understood that parts made 
of materials that do not strictly meet this 
specification may be used in small 
quantities inside the LCU (car) (e.g., 
control buttons and lighting diff users). 

3.4.13 3.4.13 LCU (Car) in Flooded Areas 

Where there is a risk that the LCU 
(car) will descend into a flooded area, 
means shall be provided to detect and 
prevent descent into a flooded area. 

3.4.14 3.4.14 Stopping Means Inside the 
LCU (Car) 

Means located inside the LCU (car) of 
intentionally interrupting the 
movement of the LCU (car) by the 
user shall be allowed only, if 
necessary, on elevators with a partially 
enclosed LCU (car) or elevators for 
special applications. 

NOTE (3.4.14): An example of an 
elevator for special application is a 
freight elevator with truck-zone 
operation. 

3.4.15 3.4.15 Landing Indication 

Means shall be provided to identify 
landings for the users in the LCU 
(car). 



3.4.13.1 GESR is self-explanatory. 



3.4.14.1 GESR is self-explanatory. 



3.4.15 GESR is self-explanatory. 



NOTE (3.4.15): Ignorance of one's 
location can create confusion and 
unpredictable reactions, in normal 
conditions, this is probably not a safety 
issue, but it can be significant in 
emergencies (firefighting, etc.). 



70 



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D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.5 3.5 GESRs RELATED TO PERSONS 

IN WORKING AREAS 



3.5.1 



3.5.2 



3.5.3 



3.5.1 Working Space 

Adequate and safe working space 
shall be provided. 

NOTE (3.5. 1): "Adequate" takes into 
account the ergonomic principles 
related to the tasks to be performed. 



3.5.2 Accessible Equipment 

All elevator equipment requiring 
maintenance shall be safely accessible 
to elevator personnel. 

NOTE (3.5.2): If elevator elements 
requiring maintenance are not 
accessible, they can be neglected, which 
would render use of the installation 
unsafe. Elements of the elevator should 
be designed taking this into account. 
"Safely" indicates safe and easy access 
for maintenance operations. 

3.5.3 Access to and Egress from 
Working Spaces in the Hoistway 

Access to and egress from working 
spaces in or beyond the travel path 
shall be safe. 



2.7.3.4.1(a) 
2.7.3.4.3(b) 



2.7.4.2(a) 
2.7.4.2(b) 

2.7.4.2(c) 

2.7.2.2.1 
2.7.2.2.2 
2.7.3.3.5 



ISO 11 228-1 
ISO 13852. 

2.7.3.3.1 



OSHA 
OH&S 



2.2.4.2 



2.2.4.4(c) 



NOTE (3.5.3): Egress from any working 2.1 2.7 
space should always be possible, 
regardless of the position of the LCD 
(car). Working spaces include the LCU 
(car) roof. 

2.26.1.5 



3.5.1.1 Access dimensions: 

(a) bodily entry required: > 750 mm x 
2030 mm: or 

(b) bodily entry not required: < 600 mm x 
600 mm. 

3.5.1.2 Minimum headroom: 

(a) machine and control room: 21 30 mm; 

(b) spaces containing sheaves only: 1070 mm; 
and 

(c) other spaces: 1 350 mm. 

3.5.1.3 Other clearances: 

(a) path for access > 450 mm; 

(b) space for maintenance > 450 mm; and 

(c) between floor levels without ladder 
<200 mm. 

3.5.2.1 Maximum distance to reach and work on 
equipment: 820 mm. 

3.5.2.2 Use of a ladder: 

(a) For any access to work space at > 200 mm 
vertical distance, a ladder conforming to 
ANSIA14.3. 

(b) Comply with OSHA and OH&S Regulations. 

NOTE (3.5.2): See also parameters for CESR 3.5. 7 
and 3.5.3. 



3.5.3.1 Maximum vertical distance to get to any 
working space, including access to car roof, 
without use of ladder or other means = 900 mm. 

3.5.3.2 Minimum access opening 750 mm wide 
x 1825 mm high. 

3.5.3.3 If PES devices are used for hoistway 
access operation: 

(a) enabling device to have SIL > 3; 

(b) operating devices to have SIL > 1 ; and 

(c) limit the car speed to 0.75 m/ s. 

3.5.3.4 If PES devices are used to actuate car 
and/or hoistway door contact bypass, the 
devices to have a SIL > 3. 



March 2007 



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m 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.5.4 3.5.4 Strength of Working Areas 

Means shall be provided to 
accommodate and support the 
weight of elevator personnel and 
associated equipment in any 
designated working area. 

NOTE (3.5.4): The number of elevator 
personnel and the equipment that they 
carry or use to fulfill the anticipated 
working activities should be determined. 
Those activities do not include major 
repairs when the working area needs to 
be enlarged and reinforced. 

3.5.5 3.5.5 Restrictions on Equipment in 
Elevator Spaces 

Only equipment related to the 
elevator installation or its protection 
shall be placed in the space 
containing the elevator equipment. 

NOTE (3.5.5): The intent is to exclude 
non-elevator personnel (and personnel 
not acquainted with the dangers of 
elevator operation) from access to 
spaces needed for the location of the 
elevator equipment (the machine room, 
machine space, control room, control 
space, and hoistway) and to prevent 
the use of these spaces for storage. 

3.5.6 3.5.6 Falling from Working Areas 

Means shall be provided to sufficiently 
mitigate the risk to elevator personnel 
of falling from any working area. 

NOTES (3.5.6): 

(1) Working places in the hoistway, 
such as the LCD (car) roof, 
temporary platforms, etc., should 
be equipped with protective 
devices (e.g., a standard railing), 
if there is a risk of falling (e.g., a 
gap between the LCU (car) roof 
and the hoistway wall). 

(2) The means of prevention (e.g., a 
standard railing) should have 
sufficient height and strength. 



2.1.3.3 



2.14.1.6 



2.7.5.3.2 



2.14.1.7 
2.10.2 

2.1.3.6 



2.7.5.3.3 



3.5.4.1 Overhead floors: Minimum concentrated 
load 1 000 N per 2000 mm 2 . 

3.5.4.2 Car top: 

(a) 1 35 kg on 600 mm x 600 mm area: or 

(b) 45 kg at any point without permanent 
deformations. 

3.5.4.3 Working platform: Support 2000 N in 
any position with a load concentration of at least 
1 000 N over an area of 40000 mm 2 , with a 
factor of safety > 5. 



3.5.5.1 GESR is self-explanatory. 



3.5.6.1 For horizontal gap > 300 mm, provide 
barrier > 1 070 mm high. 

3.5.6.2 If differences in floor levels > 400 mm, 
provide barrier > 1 070 mm high. 

3.5.6.3 Working platform: For horizontal gap > 
300 mm and difference in level > 400 mm 
provide barrier > 1 070 mm high. 

NOTE (3.5.6): See also 3. 1.6 and 3.5.2. 



72 



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© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP # Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.5.7 3.5.7 LCU (Car) Movement under 
Control of Elevator Personnel 

Only elevator personnel shall be 
provided with means to prevent or to 
enable the movement of the LCU 
(car) when they are in the travel path. 
When elevator personnel are within 
reach of unprotected moving parts of 
the elevator, they shall be able to 
prevent or activate movement of the 
elevator equipment. 

NOTE (3.5.7): "Equipment" includes 
all possible moving parts, such as the 
LCU (car), counterweight, etc. 

3.5.8 3.5.8 Uncontrolled, Unintended 
Equipment Movement Inside the 
Hoistway 

Means shall be provided to protect 
elevator personnel from the effects 
related to uncontrolled or unintended 
movement of equipment inside the 
hoistway. Any acceleration or 
deceleration to which elevator 
personnel are subjected as a result of 
uncontrolled or unintended 
movement shall be limited to 
sufficiently mitigate the risk of harm. 

NOTE (3.5.8): If the contact can be 
harmful, elevator personnel should be 
provided with means to mitigate such 
hazards, such as controls over 
equipment movement or permanently 
available screens that separate the 
moving parts from the working area so 
as to guard against accidental contact 
"Equipment" includes all possible 
moving parts, such as the LCU (car), 
counterweight, etc. 



3.5.7.1 If PES device is used for following 
functions, the device to have SIL > 3: 



2.26.1.4.1 


• 


actuation means for the transfer from any 
operation to inspection operation; 


2.26.2.7 


• 


pit stop switch; 


2.26.2.8 


• 


top of car stop switch; 


2.26.2.23 


• 


remote machine room stop switch; 


2.26.2.24 


• 


overhead machinery stop switch in 
hoistway; 


2.26.2.5 


• 


freight in-car emergency stop switch; 


2.26.2.27 


• 


remote counterweight hoistway stop 
switch; 


2.26.2.33 


• 


firefighters' in-car stop switch; and 


2.26.2.21 


• 


in-car stop switch. 



3.5.8.1 Same as SP 3.4.6. 



March 2007 



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ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.5.9 3.5.9 Means of Protection from 
Various Hazards 

Means shall be provided to 
adequately protect elevator personnel 
in working spaces from the effects of 
shearing, crushing, abrasion, 
laceration, high temperature, or 
entrapment. 



2.3.2.2 



2.4.1.3 

ISO 1 3852 
EN 563 

2.7.5.3.4 



3.5.9.1 Counterweight pit guard: 

(a) height (h) from pit floor 2100 <h 
<2500 mm; 

(b) strength and stiffness at least equivalent to 
2 mm thick sheet steel; and 

(c) if perforated, reject a ball 25 mm in diameter 

3.5.9.2 Pit refuge space to be not less than 

(a) horizontal area 600 mm x 1 200 mm and 
height 600 mm; or 

(b) horizontal area 450 mm x 900 mm and 
height 1070 mm. 

3.5.9.3 Refer to ISO 1 3852 Table 2 for guidance 
on reach and body space dimensions. 

3.5.9.4 Maximum surface temperature for 
elevator equipment to meet applicable 
requirements of EN 563. 

3.5.9.5 Working platforms: If car < 300 mm from 
working platform: 

(a) shear protection > 21 30 mm height from 
platform; 

(b) strength and stiffness at least equivalent to 2 
mm thick sheet steel; and 

(c) if perforated, reject a ball 25 mm in 
diameter 



3.5.10 3.5.10 Failing Objects in the 
Hoistway 

While in the hoistway, elevator 
personnel shall be adequately 
protected from falling objects. 

NOTE (3.5.10): Objects can fall 
because of an accidental reaction on 
the part of a person, e.g., handheld 
tools, loose material, etc. 

3.5.1 1 3.5.1 1 Electric Shock in Working 
Spaces 

Equipment shall be designed and 
installed to minimize harm to elevator 
personnel due to the effects of 
electricity. 

NOTE (3.5. 1 1): Elevator service 
sometimes requires that elevator 
personnel access live parts of electrical 
equipment See also 3.1.9. 



2.26A 



NOTE (3.5.9): See also applicable parameters for 
GESRs 3.5.7 and 3.4.5. 

3.5.10.1 GESR is self-explanatory. 



3.5.11.1 Meet requirements of: 

(a) NFPA 70 or CSA 22.1 as applicable; and 

(b) CSA B44.1/ASME A1 7.5 as applicable. 



74 



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D 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



TNI on mandatory Table B-l 
SPs for Each GESR* 



SP# 



Part 3 GESRs and related notes 



References to 
A17.1/B44 
requirement or 
other standards SPs 



3.5.12.1 Minimum pit illumination > 1 00 Ix at 
floor level. 

3.5.12.2 Minimum illumination in all machine 
rooms, control rooms, machinery spaces, and 
control spaces > 200 Ix at floor level. 



3.5.1 2 3.5.1 2 Illumination of Working 
Spaces 

All working spaces and access thereto 
shall be provided with adequate 
illumination for the use of elevator 
personnel. 

NOTE (3.5. 12): Adequate illumination 
means that the level of light is sufficient 
for safe access and for performance of 
any maintenance operation of the 
elevator equipment Illumination may 
be switched off in the absence of 
elevator personnel. 



2.2.5.1 



2.7.9.1 



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ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table B-2 
Summary of Anthropometric Data 



Item 



Parameter 



Dimension (mm) Source 



1 


Standing height with arm in extension 
(over head finger tape reach) 


2 


Body reaching side to side 
(span tip to tip) 


3 


Crip reach (forward reach) 


4 


Spaces allowing "free" movements 
Allowance for work clothing 


5 


Foot width 


6 


Foot length 


7 


Foot thickness 


8 


Shoe length 


9 


Shoe width 


10 


Arm length* 


11 


Arm diameter 


12 


Hand breadth (width) 


13 


Hand depth (thickness) 


14 


Hand length 


15 


Finger thickness 


16 


Finger diameter^ 


17 


Finger length 


18 


Body height 


19 


Body shoulder width 


20 


Body thickness 


21 


Body weight (kg) 


22 


Crouching dimensions height 


23 


Crouching dimensions depth 


24 


Crouching dimensions width (shoulder) 


25 


Head width 


26 


Head length (to nose) 
(pronasale to back of head) 


27 


Head height 

(chin to top of head) 


28 


Chest thickness 


— 


Chest depth - Child 


29 


Chest width 


30 


Step height 


31 


Climbing height - distance between lad 


32 


Step length (span) 



2393 


U.S. Army 


1960 


U.S. Army 


820 


ISO 15534-3 


100 


ISO 15534-2 


20 




113 


ISO 15534-3 


285 


ISO 15534-3 


96 


ISO 15534-2 


320 


ISO 3411 


115 


ISO 3411 


782 


HUMANSCALE 


120 


ISO 15534-3 


97 


ISO 15534-3 


30 


ISO 15534-3 


205 


ISO 3411 


23 


ISO 15534-3 


32 


HUMANSCALE 


88 


ISO 15534-2 


1881 


ISO 15534-3 


495 


HUMANSCALE 


342 


ISO 15534-3 


98.3 


U.S. ARMY 


1220 


ISO 15534-2 


790 


HUMANSCALE 


495 


HUMANSCALE 


161 


U.S. ARMY 


240 


IS01 5534-3 


247 


U.S. ARMY 


280 


U.S. ARMY 


110 


ANTHROKIDS 


367 


U.S. ARMY 


152-191 


HUMANSCALE 


min 180 


HUMANSCALE 


max 300 




284 


HUMANSCALE 




(Continued) 



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March 2007 



© Canadian Standards Association 

© American Society of Mechanical Engineers, inc. 



Performance- based safety code for elevators and escalators 



Nonmandatory Table B-2 
Summary of Anthropometric Data 



Item 


Parameter 






Dimension (mm) 


Source 


33 


Hips width 






378 


HUMANSCALE 


34 


Elbow to Elbow (shoulder width) 






545 


ISO 15534-3 


35 


Minimum Cap to avoid crushing - 


- Adult - 


- Body 


500 


ISO 1 3854 


36 


Minimum Cap to avoid crushing - 


- Adult - 


-Head 


300 


ISO 13854 


37 


Minimum Cap to avoid crushing - 


- Adult - 


-Leg 


180 


ISO 1 3854 


38 


Minimum Cap to avoid crushing - 


- Adult - 


-Foot 


120 


ISO 1 3854 


39 


Minimum Cap to avoid crushing - 


- Adult - 


-Toes 


50 


ISO 1 3854 


40 


Minimum Gap to avoid crushing - 


- Adult - 


-Arm 


120 


ISO 1 3854 


41 


Minimum Gap to avoid crushing - 


- Adult - 


- Hand/Wrist/Fist 


100 


ISO 1 3854 


42 


Minimum Cap to avoid crushing - 


- Adult - 


- Finger 


25 


ISO 1 3854 


43 


Minimum Gap to avoid crushing - 


- Child - 


-Body 


300 


ANTHROKIDS 


44 


Minimum Gap to avoid crushing - 


- Child - 


-Head 


200 


ANTHROKiDS 


45 


Minimum Gap to avoid crushing - 


- Child - 


- Leg 


110 


ANTHROKIDS 


46 


Minimum Gap to avoid crushing - 
(Assume Vz Adult Dimension) 


- Child - 


-Foot 


60 


ANTHROKIDS 


47 


Minimum Gap to avoid crushing - 


- Child - 


-Toes 


25 


ANTHROKIDS 


48 


Minimum Gap to avoid crushing - 


- Child - 


-Arm 


60 


ANTHROKIDS 


49 


Minimum Gap to avoid crushing - 


-Child - 


- Hand/Wrist/Fist 


70 


ANTHROKIDS 


50 


Minimum Gap to avoid crushing - 


- Child - 


- Finger 


12 


ANTHROKIDS 


* Value from the center of the body 
t Value to give access 











Unless stated as minimum, dimensions given in Nonmandatory Table B-2 will accommodate ninety-five 
percent of population (e.g., Item 6, foot length 285 mm, indicates that ninety-five percent of the 
population will have a foot length of 285 mm or less.) 



Sources: 



0) 

(2) 
(3) 

(4) 
(5) 
(6) 

(7) 



ISO 1 5534-2, Ergonomic design for the safety of machinery - Part 2: Principles for 

determining the dimensions required for access openings 

ISO 1 5534-3, Ergonomic design for the safety of machinery - Part 3: Anthropometric data 

ISO 341 1 Earth Moving Machinery - Human Physical Dimensions of Operators and 

Minimum Operator Space Envelope 

Humanscale Manual - Published by MIT Press 

US Army - 1 988 Anthropometric Survey of U.S. Army Personnel 

ISO 1 3854, Safety of machinery. Minimum gaps to avoid crushing of parts of the human 

body (EN 349) 

Anthrokids Web Site - http://www.itl.nist.gov/iaui/ovrt/projects/anthrokids/ (95 th 

percentile - M/F - 4.5 - 5.5 years old) 



Other Sources of Anthropometric Data: 

(1) ISO 15534-1, Ergonomic design for the safety of machinery- Part 1: Principles for 
determining the dimensions required for openings for whole-body access into machinery 

(2) ISO 2860, Earth Moving Machinery - Minimum Access Dimensions 

(3) ISO 7250, Basic human body measurements for technological design 

(4) ISO 1 3852, Safety of machinery. Safety distances to prevent danger zones being reached by 
the upper limbs (EN 294) 



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D 



© Canadian Standards Association 
ASME A 1 7. 7-200 7/CSA B44.7-07 €> American Society of Mechanical Engineers, Inc. 

NONMANDATORY APPENDIX C 
RISK ASSESSMENT METHODOLOGIES 

To verify conformance with the CESRs, it is necessary to perform a risk assessment of the elevator system, 
sub-system, component, or function to be utilized. This may be done using one of the methods developed 
for analyzing hazards and estimating risk. 

This Code refers solely to the methodology described in ISO 14798 because it is the only document 
written specifically for use in the field of elevators, escalators, and moving walks and includes numerous 
elevator examples for use of the risk assessment process. To assist users of the ISO 1 4798 methodology, 
templates and other data are provided in Tables C-1, C-2.1, C-2.2, C-3.1, and C-3.2 in this Appendix. 

However, in addition to the ISO 14798 methodology, there are other methods for risk assessment that 
could be used for verification of compliance with CESRs. They include, but are not limited to, the 
following: 

(a) ISO 14121, Safety of machinery - Principles of risk assessment, and also the following methods that 
are described in Annex B of ISO 14121: 

(1) PHA; 

(2) "What-if" method; 

(3) FMEA; 

(4) MOSAR; 

(5) FTA; 

(6) DELPHI technique; 

(b) US MIL STD-882 C, System safety program requirements, U.S. Department of Defense; 

(c) ZHA-Cuide, Zurich hazard analysis: A brief introduction to the Zurich method of hazard analysis; and 

(d) IEC 61 508-5, Functional safety of electrical/electronic/programmable electronic safety related 
systems - Part 5, Annex B. 



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€> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Purpose * and subject: 



Table CI 
Risk Assessment Template 

[for use in conjunction with ISO/TS 14798] 

Moderator* 



Date: 



: Purpose, team moderator, and members could be recorded in a separate document 



Case 
No. 


Scenario 






Protective 
measures 
(risk reduction 
measure) 






Residual 
risk 


Hazardous 
situation 


Harmful event 


Risk 

elements 

estimate 


After 

protective 

measures 


Cause 


Effect 


S 


P 


S 


P 






















Comments: 






















Comments: 






















Comments: 






















Comments: 






















Comments: 






















Comments: 






















Comments: 


S - Levels of severity of the harm (see P - Level of probability of occurrence of harm (see 
Nonmandatory Table C-2.1): Nonmandatory Table C-2.2): 

1 . high 2. medium 3. low 4. negligible A: highly probable B: probable C: occasional 

D: remote E: improbable F: highly improbable 



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ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



TABLES C 2.1 AND C 2.2 

ESTIMATION OF RISK ELEMENTS, SEVERITY, AND PROBABILITY 

C2.1 

The levels of severity are given in Table C-2.1 to provide approximate quantitative measures of the severity 
of effect (harm). It is recognized that the users of the ISO 14798 methodology may not be qualified to 
determine the actual harm in terms of injuries that a given individual may be suffering in a particular 
harmful event, but they may be able to quantify the estimated level of possible severity of effect (harm). 

The descriptions of level of severity of harm (Table C-2.1) and probability levels (Table C-2.2) are given for 
guidance when risk assessment is performed in relation to elevators intended for general use and 
transportation. In special cases, such as the use of elevators by firefighters or by hospital personnel, the 
description of levels of severity and probability may need adjustments. 

Table C-2.1 
Levels of Severity 



ID - Level of severity 



Description 



1 High 

2 Medium 

3 Low 

4 Negligible 



Death, system loss, or severe environmental damage 

Severe injury, severe occupational illness, major system or 
environmental damage 

Minor injury, minor occupational illness, minor system or 
environmental damage 

Will not result in injury, occupational illness, system or 
environmental damage 



C-2.2 

The levels of probability are described in Table 02.2 to give approximate quantitative measures of the 
probability of the occurrence of harm in a specific hazard scenario. 

Table C-2.2 
Levels of Probabilities 



ID - Level of Probability 



Description 



A Highly Probable 

B Probable 

C Occasional 

D Remote 

E Improbable 

F Highly Improbable 



Likely to occur frequently 
Likely to occur several times in the life cycle 
Likely to occur at least once in the life cycle 
Unlikely but may possibly occur in the life cycle 
Very unlikely to occur in the life cycle 
Probability cannot be distinguished from zero 



80 



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Performance-based safety code for elevators and escalators 



TABLES C-3.1 AND 3.2 

RISK ESTIMATION AND EVALUATION 

NOTE (Tables C-3): Tables C-3. 1 and C-3.2 are mandatory if ISO 14798 methodology (see 2.7. 1) is used. 

Table C-3.1 
Risk Estimation and Evaluation (see 2.7*4) 





Level of 


Severity 










Level of Probability 


lHigh 




2 Medium 


3 Low 


4 Negligible 




A Highly probable 


1A 




2A 


..3A. 




" 


B Probable 
C Occasional 


1B 




■.l 28 ■.■■.' 


■'..■, M,- 




nH 


D Remote 


ID 




^^^^H 




BIB 4D 




E Improbable 


^^H 




■^M^^Wi^i 


III 3E 


4E 




F Highly improbable 


IF 




2F 


3F 


4F 





Table C-3.2 
Risk Evaluation (see 2.7.4.2) 



Risk 
Group 


Risk levels 


Measure to be taken 


1 


1A, 1B, 1C,1D, 2A,2B, 2C, 3A, 3B 


Protective measures required to reduce the risks 


IffB 


IE 2D, 2E 3C, 3D 


4A, 4B 


Review is required to determine whether any 
further protective measure is appropriate, taking 
into account the practicability of the solution 
and societal values (see Note Table C-3.2) 


in 


1F 2F 3E, 3F 


4C, 4D, 4E, 4F 


No action required 



NOTE (Table C-3.2): Society may or may not tolerate a specific risk. Further measures may make use, service, etc., of the 
elevator impractical or impossible. 



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Table C-4 

Guide for Team Moderator — 

Role, Skills, Duties, and Responsibilities 



NOTE 



(Table C-4): This Cuide is included for users of risk assessment methodology described in ISO 14798. 



1 . Role Skilful moderation of the risk assessment team is very important for the results of a 

risk assessment. Poor team moderation can dramatically reduce the effectiveness 
of the risk assessment process. 

2. Skills The team moderator must have good knowledge and understanding of the 

methodology described in ISO 14798. In addition, the moderator should 

(a) have an overall understanding of the product or process being assessed, not 
necessarily having expertise in all aspects of the subject being analyzed; 

(b) have facilitating abilities, including good questioning skills; and 

(c) be able to assume an impartial view, free of any bias. 

3. Duties and The following are the moderator's duties and responsibilities: 
responsibilities (a) to form the team that is balanced in accordance with 2.7.2; 

(b) to ensure that the team members understand and accept rules of the risk 
assessment process; 

(c) to remain objective and to guide the team through a disciplined and focused 
assessment process; 

(d) to act as an unbiased facilitator rather than a participant in the debates of the 
team. When discussing topics and expressing opinions, the moderator may 
express his/her own opinion concerning the topic, but this shift from the 
moderator role should be an exception and clearly indicated to the team; 

(e) to stimulate in-depth discussion by the members, which is accomplished by 
using a thought-provoking process of questioning when developing the 
scenarios and reaching consensus; 

(f) to ensure that any scenario (see 273), including assumptions, if any, are 
clearly formulated and understood; 

(g) to ensure that the team work and decision-making process are properly 
documented (see 2.10.); and 

(h) to ensure that decisions are made in accordance with consensus principles. 



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Performance-based safety code for elevators and escalators 



NONMANDATORY APPENDIX D 
QUICK REFERENCES 

Examples of Hazards (Table D-1); 

Examples of Hazardous Situations (Table D-2); 

Examples of Causes (Table D~3); and 

Examples of Effects (Table D~4) 

NOTE (Nonmandatory Appendix D): This Appendix does not constitute a comprehensive compilation of hazards, hazardous 
situations, causes, and effects. It is intended only as a guide. 

Table D-1 
Examples of Hazards 



Type of hazards 



Details and examples 



1 . Mechanical 

(a) Specific mechanical features 



(b) Mechanical parts 



(c) Gravity mass and stability 



2. Electrical 



3. Radiation 



4. Chemical 



5. Neglecting ergonomic principles 



Mass and velocity (kinetic energy of elements in controlled or 

uncontrolled motion) 

Acceleration, force 

Inadequate mechanical strength 

Potential energy or accumulated energy inside elastic elements (such as 

springs) or gases/liquids under pressure (such as hydraulic, pneumatic) 

Moving or rotating parts and relative movement of moving part - 
Shapes - sharp, pointed, rough, etc. 

Collapse of element supporting equipment or persons 

Uneven or slippery area 

Elevated unguarded area 

Floor obstruction on walking/working area 

Live conductors 

Live machine elements - from loss of insulation and/or protection 

Electrostatic phenomena 

Thermal effects 

Low frequency, radio frequency, microwave, X and gamma ray 
Laser/infrared, visible and ultraviolet light 

Hazardous (harmful, toxic, corrosive) 
Combustible or flammable 

inadequate lighting 

Inadequate visibility (poor layout of controls) 

Difficult access to, or inadequate height of, work space 



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Table D-2 
Examples of Hazardous Situations 



Type of hazardous 
situation; presence of 
hazard to which persons 
can be exposed 



Details and examples 



1 . Presence of mechanical 
hazards 

1.1 General mechanical 



Persons are in location or situation where it is possible for them 
• to be exposed to energy sources: mass and velocity - kinetic energy of 
elements in controlled and uncontrolled motion. 



1 .2 Moving parts 

1 .3 Gravity 



2. Presence of electrical 
hazards 



3. Presence of thermal 
hazards 



4. Presence of radiation 
hazards 

5. Presence of chemical 
hazards 

6. Presence of hazards 
generated by neglecting 
ergonomic principles 



EXAMPLE Persons at the floor close to the unenclosed hoistway in which car 
and counterweight travel. 

• to come in contact with a hazardous (sharp, pointed, etc.) shape 

• to be exposed to various hazards due to mechanical failure of a 
mechanical component 

• to approach sources of accumulated energy - in the form of elastic 
elements (springs) or gases/liquids under pressure (hydraulic, pneumatic) 

Persons are in location where it is possible to come in contact with zones of 
entanglement, shearing, trapping, crushing/impact, friction/abrasion 

Persons are in situation where they are or could be 

• at height 

• near an elevated load or non-fixed component or tool 

• near an opening such as a car top, hole in the machine room floor, open 
well doors when car is away 

• on slippery, uneven, cluttered ground, floor, or area 

Persons are in location or situation where there is a possibility for persons 

• to contact live components (direct contact) 

• to access machines being electrified, e.g., following an insulation failure 
(indirect contact) 

• to approach parts under high voltage 

• to contact elements carrying electrostatic charges 

Persons are in location or situation where there is a possibility for a person's 
exposure to a hot or cold environment or surface, such as a user in the car 
or a worker in a cold or hot machine room, or a person touching a hot 
component 

Persons are in location or situation where they could be exposed to 
hazardous radiation source 

Persons are in location or situation where there is a source of ignition with 
flammable dusts, gases, or vapours generated by materials or products 

• Elevator access area is inadequately lit - car interior is inadequately 
illuminated and visibility of controls is insufficient for users 

• Access to working area is through narrow and low openings 



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Performance-based safety code for elevators and escalators 



Table D-3 
Examples of Causes (Component of Harmful Event) 



Causes 



Details and examples 



1 . Events involving general 
mechanical hazardous situations 



1.1 Breaking or failure of 
mechanical parts 



1 .2 Tipping, overturning, 
or falling of parts or tools 

1 .3 Breaking or failure of 
mechanical safety part 



2. Events involving moving 
parts, components 

2.1 Unexpected or 
unintended start of car 
movement 



2.2 Car accelerated 
beyond its rated speed 

2.3 Car accelerates or 
decelerates abruptly 



2.4 Unexpected start of 
elevator while a person is 
working in hoistway or 
machine room 

3. Events involving or 
instigating gravity issues 



• Any driving machine component, e.g. gear, shaft, drive sheave, brake, suspension 
means, hydraulic jack, valve, etc. 

• Car or hoistway entrance doors, their fixings, door mechanical lock, etc. 

• Car floor 

• Car or hoistway enclosures, enclosure lining, light fixtures, car or counterweight 
guiding means 

• Machine tipping or overturning 

• Falling tools used by mechanics 

The parts provided to stop the car safely should another elevator part fail, such as: 

• car or counterweight safety or mechanical governor 

• emergency brake 

• buffer 

• door lock or interlock 



Due to failure of a component, such as: 

• a safety device (interlock or door contact) 

• safety-related circuit, 

• driving machine component (brake, shaft) 

• motion control system (failure of a relay, solid-state device, software, anomaly in logic) 

EXAMPLE Car starts to move when landing door is open due to door interlock or its circuit 
failure, or due to the failure of the brake to hold car at the landing 

Due to failures of components, such as: 

• motion control system 

• slowdown and stopping system (brake, shaft, gear) 

Due to failures of components, such as 

• motion control system 

• brake 

Due to various mechanical or control failure, mentioned in Table D1, Item 1 



Slippery floor - possibility of a person tripping and falling on the floor 
Hoistway door left open - possibility of a person falling into hoistway 
Elevated working platform railing fails to hold worker, possibility of falling 
Falling matter or material (e.g., a tool or elevator part) 



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Table D-4 
Examples of Possible Effects 



Effects of 



Examples of effects 



1. Mechanical 


• 


Abrasion 


• 


Cutting 


origin 


• 


Being caught 


• 


Entanglement 




• 


Being dragged 


• 


Impact 




• 


Burning 


• 


Projection 




• 


Crushing 


• 


Pulling out 


2. Gravity 


• 


Collapse 


• 


Lowering 




• 


Crushing 


• 


Slipping 




• 


Falling 


• 


Slumping 




• 


jamming 






3. Electrical 


• 


Electric burns 


• 


Electric shock 


causes 










4. Thermal 


• 


Heatstroke 


• 


Hypothermia 


causes 










5. Chemical 


• 


Burns - chemical or fire 


• 


Smoke orfum 


causes 










6. Ergonomics 


• 


Crushing, abrasion on 
undersize access 


• 


Claustrophobi 



Puncture 
Severing 
Shearing 
Stabbing 

Suffocation 

Tripping 

Wedging 

Electrocution 

Suffocation 



Skeletal and muscular 
dislocations 



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€> American Society of Mechanical Engineers, inc. Performance-based safety code for eievators and escalators 

NONMANDATORY APPENDIX E 
EXAMPLE OF USE OF THIS CODE 



El INTRODUCTION 

E-l.l 

To demonstrate the use of the method for establishing safety described in this Code, an elevator-related 
example is presented in E~2. This example is intended for illustrative purposes only and is not an 
endorsement of solutions developed, probability and severity levels assessed, or any conclusions regarding 
mitigation or protective measures. The example merely demonstrates a process that would satisfy the 
procedural requirements of this Code. 

E-1.2 

The example demonstrates an approach in conforming to GESRs when a complete elevator system is 
fundamentally different from current elevator designs. In the example, alternative means for meeting the 
intent of specific design requirements specified in ASME A1 7.1 /CSA B44 are illustrated. 

E -1.3 

In the example, the following process is illustrated: 

(a) determine the reason for, and subject of, the assessment; 

(b) propose an elevator system to be deployed; 

(c) identify GESRs that are applicable to the subject of analysis; 

(d) conduct risk assessment and mitigate identified risks; and 

(e) document the process. 

E-2 EXAMPLE: PASSENGER ELEVATOR SYSTEM WITHOUT A 
CONVENTIONAL CAR, HOISTWAY, AND DOOR SYSTEM 

E-2.1 Determine the Reasons for, and Subject of, this Risk Assessment 

The reasons and subject are as follows: 

(a) verification that (safety) risks will be eliminated or sufficiently mitigated once the conceptual design of 
an elevator device (see E-2. 3) for transportation of persons becomes an actual installation put into 
service; and 

(b) verification that the design of an elevator described in E-2. 2, which apparently does not comply with 
most of the requirements specified in the ASME A1 7.1 /CSA B44 Code, fully complies with GESRs. 

E-2. 2 Propose an Elevator System to be Deployed 

NOTE (E-2. 2): Fig. E-l shows the initial concept of the elevator device. Figs. E-2 to E-4 show details of the elaborated 
elevator design resulting from the risk assessment in relation to the applicable GESRs. 

E-2. 2.1 Basic Requirements for the Proposed System 

The conceptual design of the elevator system has the following specifications (see also Fig. E-1): 

(a) capacity - thirty persons; 

(b) speed -0.5 to 1.0 m/s; 

(c) landings - 2 levels, the ground and gallery levels; 

(d) rise - 8 m; 

(e) location - public assembly building; 

(f) life cycle - 40 years; 

(g) driving machine - any type; and 
(h) automatic operation. 



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E-2.2.2 Additional Design Requirements 

E-2.2.2.1 

The building space is open from the ground level up to the ceiling, high above the gallery level. When 
people enter the building at the ground level and the elevator platform is located at the ground level, no 
elevator equipment above the platform obstructs the view of the whole space above the ground, up to the 
ceiling of the gallery level. No equipment is in view and no permanently installed hoistway enclosure is 
provided. 

E-2.2.2.2 

When the platform, occupied by users, is moving up towards the gallery landing, the users are able to 
view all space around them, including people on the ground and at gallery level. 

E-2.3 Identification of GESRs that are Applicable to the Proposed 
System 

Following the brief review of the design requirements for this elevator device, it became clear that the 
complete list of GESRs, as given in Part 3, should be used to ensure that each safety requirement that is 
applicable to this device is taken into consideration. 

Consequently, all GESRs are listed in Nonmandatory Appendix Table E-2.3. The third column, by entry 
"YES", indicates that each GESR is to be taken into consideration. The fourth column is used to confirm, by 
entry "YES" or "NO", whether or not the specific GESR is indeed found applicable and that compliance 
with such a GESR has been demonstrated by risk assessment in Nonmandatory Appendix E-2.4. The 
entries "A1 7.1 /B44" in the fourth column identify that conformity with the GESR is achieved by 
compliance with the noted ASME A1 7.1/CSA B44 requirement. Therefore no risk assessment is required in 
Nonmandatory Appendix Table E-2.4. 

NOTE (E-2.3): When identifying applicable GESRs, the template in Nonmandatory Appendix A-4 could have been used. 
However, for the purpose of this example, Table E-2. 3 has been abbreviated. 

NOTE (E-2): It should be noted that the sequence of addressing the GESRs in this particular example differs from the order of 
GESRs in Table E-2 3. The main focus of this example is the platform upon which users stand, and which transports them 
vertically The safety issues are best addressed by dealing with the GESRs relevant to the LCU (car) first, such as GESRs 3.4. 1 
to 3.4.15 in Category 3.4. 

This is logically followed by 3.2 GESRs related to areas adjacent to the hoistway and 3.3 GESRs related to landing and LCU 
(car) entrances, etc. 

Approaching the example in a different sequence would also lead to a similar outcome, provided that all the applicable 
GESRs are addressed and all identified risks are sufficiently mitigated. 



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Performance-based safety code for elevators and escalators 



Nonmandatory Table E-2.3 
List of GESRs to be Verified for Conformance* 



GESR # Global Essential Safety Requirement 



Compliance RA Case # or 

to be A17.1/B44 

verified requirement 

with this (from 

GESR? Table E-2.4) 



3.1 COMMON GESRs RELATED TO PERSONS AT DIFFERENT 
LOCATIONS 



3.1.1 



3.1.2 



3.1.3 



3.1.4 



3.1.5 



3.1.6 



Supports for Elevator Equipment YES 

The means used to support the elevator equipment shall be capable of 
sustaining all loads and forces (including impact forces) imposed during 
normal and emergency operations. 

Elevator Maintenance YES 

Where maintenance is required to ensure continued safety, appropriate 
instructions shall be provided, and elevator personnel shall perform any 
required work. 

Equipment Inaccessible to Users and Non-Users YES 

Equipment that is hazardous shall not be directly accessible to users and 
non-users. 



Floors of the LCU (Car) and Working Areas YES 

The floors of the LCU (car) and standing areas of workplaces shall 
minimize the risk of tripping and slipping. 

Hazards Due to Relative Movement YES 

Users and non-users shall be protected from the effects of shearing, 
crushing or abrasion, or other injuries due to: 

(a) relative movement of the LCU (car) to external objects; and 

(b) relative movement of the elevator equipment 

NOTE (3. 1.5): For elevator personnel, see 3.5.9. 

Locking Landing Doors and Closing LCU (Car) Doors YES 

Any movement of the LCU (car) that is hazardous to persons shall be 
stopped if any hoistway door is open or unlocked or the LCU (car) door 
is not closed. 

3.1.7 Evacuation YES 

Means and procedures shall be provided to enable trapped users or 
elevator personnel to be safely released and evacuated. 

3.1.8 Sharp Edges YES 

Means shall be provided to sufficiently mitigate the risk of users and 
non-users being exposed to sharp edges. 

NOTE (3.1.8): For elevator personnel, see 3.5. 

3.1 .9 Hazards Arising from the Risk of Electrical Shock YES 

Where electricity is provided, means shall be provided to sufficiently 
mitigate the risk to users and non-users of exposure to electrical shock 
and related hazards. 



YES 
Case 22 



YES 
Case 23 



YES 
Case 24 



YES 
Case 25 



YES 
Case 26 



A17.1/B44 3.12 



A17.1/B44 
8.6.10.4 



YES 
Case 27 



A17.1/B44 
3.26.1(d) 



NOTE (3.1 .9): For elevator personnel, see 3.5.11 . 



* Table E-2.3 is not to be construed as a complete representation of the entire process required by this Code. 



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ASME A 1 7. 7-200 7/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Nonmandatory Table E-2.3 
List of GESRs to be Verified for Conformance* 



GESR # Global Essential Safety Requirement 



Compliance 
to be 
verified 
with this 
GESR? 


RA Case # or 
A17.1/B44 
requirement 
(From 
Table E-2.4) 


YES 
YES 


A17.1/B44 
3.26.1(d) 

YES 
Case 28 



YES 



YES 



YES 



3.2 Means shall be provided to prevent the risk of users, non-users, and 

elevator personnel falling into the hoistway 



YES 



NO 



3.1 .1 Electromagnetic Compatibility 

The safe operation of an elevator shall not be influenced by 
electromagnetic interferences. 

3.1 .1 1 Illumination of LCU (Car) and Landings 

The LCU (car) and landings shall be provided with adequate illumination 
during use. 

3.1 .1 2 Effects of Earthquake 

In areas subject to earthquake, means shall be provided to minimize the 
risk to users of the LCU (car) and elevator personnel of the foreseeable 
effects of earthquakes on the elevator equipment. 
COMMENT (3.1.12): Elevator not in seismic zone. 

3.1 .1 3 Hazardous Materials 

The characteristics and quantity of material used for the manufacture 
and construction of the elevator shall not lead to hazardous situations. 

3.1.14 Environmental Influences 

Users and elevator personnel shall be protected from environmental 

influences. 

COMMENT (3. 7. 14): Elevator is located within building. 

3.2 GESRs RELATED TO PERSONS ADJACENT TO THE ELEVATOR 
— FALLING INTO HOISTWAY 



YES 
Case 29 

NO 



YES 
Case 7 



3.3 GESRs RELATED TO PERSONS AT THE ELEVATOR ENTRANCE 



3.3.1 Access and Egress YES YES 

Safe means of access and egress shall be provided to the LCU (car) at Case 8 

landings. 

3.3.2 Horizontal Sill-to-Sill Gap YES YES 

The horizontal gap between the sill of the LCU (car) and that of the Case 9 

landings shall be limited. 

3.3.3 Alignment of LCU (Car) and Landing YES YES 

When users enter or exit the LCU (car), its platform and landing shall be Case 1 

substantially aligned. 

3.3.4 Self-Evacuation from an LCU (Car) YES YES 

Self-evacuation of users shall be possible only when the LCU (car) is at or Case 1 1 

near a landing. 

3.3.5 Gap between the Landing Doors and LCU (car) Doors YES YES 

The space between the landing doors and LCU (car) doors shall not Case 1 2 

allow the presence of users. 



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Performance-based safety code for eievators and escalators 



Nonmandatory Table E-2.3 
List of GESRs to be Verified for Conformance* 



GESR # Global Essential Safety Requirement 



3.3.6 Means to Reopen Doors when LCU (Car) is at Landing 

Means shall be provided to reopen the LCU (car) and landing doors if 
their closing is obstructed when the LCU (car) is at the landing. 



Compliance 


RA Case # or 


to be 


A17.1/B44 


verified 


requirement 


with this 


(From 


GESR? 


Table E-2.4) 


YES 


YES 




Case 13 



3.4 GESRs RELATED TO PERSONS IN THE LCU (CAR) 



3.4.1 Strength and Size 

The LCU (car) shall accommodate and support the rated load and a 
reasonably foreseeable overload. 

3.4.2 LCU (Car) Support/Suspension 

Means shall be provided to support the fully loaded LCU (car) and a 
reasonably foreseeable overload. 

3.4.3 Overloaded LCU (Car) 

Means shall be provided to prevent an overloaded LCU (car) from 
attempting to leave a landing. 

3.4.4 Falling from an LCU (Car) 

Means shall be provided to prevent users from falling from the LCU (car). 

3.4.5 LCU (car) Travel Path Limits 

The vertical travel of the LCU (car) shall be limited to prevent the LCU 
(car) from uncontrolled running beyond the travel path. 

3.4.6 Uncontrolled, Unintended Movement of an LCU (Car) 

Means shall be provided to limit uncontrolled or unintended movement 
of the LCU (car). 

3.4.7 LCU (Car) Collision with Objects in or beyond Travel Path 

Means shall be provided to avoid collision of the LCU (car) with any 
equipment in the travel path that could cause injuries to users. 

3.4.8 LCU (Car) Horizontal and Rotational Motion 

Horizontal or rotational motion of the LCU (car) shall be limited to 
sufficiently mitigate the risk of injury to users and elevator personnel. 

3.4.9 Change of Speed or Acceleration 

Means shall be provided to ensure that any change of speed or 
acceleration of LCU (car) shall be limited to minimize the risk of injury to 
the users. 

3.4.1 Objects Falling on the LCU (Car) 

LCU (car) users shall be protected from falling objects. 
COMMENT (3.4. 1 0): The elevator is located in an enclosed building. 

3.4.11 LCU (Car) Ventilation 

Adequate ventilation shall be provided to the LCU (car). 
COMMENT (3.4. 7 1): Elevator is not fully enclosed. 

3.4.1 2 Fire/Smoke in LCU (Car) 

The interior of the LCU (car) shall be constructed of materials that are 
fire-resistant and that develop a low level of smoke. 



YES 


YES 




Cases 1 and 1.1 


YES 


YES 




Case 2 


YES 


YES 




Case 3 


YES 


YES 




Case 1.2 


YES 


A17.1/B44- 




3.18, 3.22.1, 




3.25, 3.26.4 


YES 


A17.1/B44- 




3.18 


YES 


YES 




Case 4 


YES 


YES 




Case 5 


YES 


A17.1/B44- 




3.18, 3.25, 3.26 


YES 


YES 




Case 1.2.2 



YES 



YES 



YES 



YES 
Case 6 



March 2007 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



91 



ASME A17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc 



Non mandatory Table E-2.3 
List of GESRs to be Verified for Conformance* 



GESR # Global Essential Safety Requirement 



Compliance 


RA Case # or 


to be 


A17.1/B44 


verified 


requirement 


with this 


(From 


GESR? 


Table E-2.4) 



3.4.1 3 LCU (Car) in Flooded Areas YES NO 

Where there is a risk that the LCU (car) will descend into a flooded area, 

means shall be provided to detect and prevent descent into a flooded 

area. 

COMMENT (3.4. 1 3): Elevator not located in flood plain, 

3.4.1 4 Stopping Means Inside the LCU (Car) YES YES 

Means located inside the LCU (car) of intentionally interrupting the 
movement of the LCU (car) by the user shall be allowed only if 
necessary, on elevators with a partially enclosed LCU (car) or elevators 
for special applications. 

COMMENT (3.4. 14); Elevator partially enclosed and operated only by 
designated attendant 

3.4.15 Landing Indication YES YES 

Means shall be provided to identify landings for the users in the LCU 

(car). 

COMMENT (3.4. 15): Elevator serves only two landings, visible from the LCU 

(car). 



3.5 GESRs RELATED TO PERSONS IN WORKING AREAS 



3.5.1 Working Space YES 

Adequate and safe working space shall be provided. 

3.5.2 Accessible Equipment YES 

All elevator equipment requiring maintenance shall be safely accessible 
to elevator personnel. 

3.5.3 Access to and Egress from Working Spaces in the Hoistway YES 

Access to and egress from working spaces in or beyond the travel path 
shall be safe. 

3.5.4 Strength of Working Areas YES 

Means shall be provided to accommodate and support the weight of 
elevator personnel and associated equipment in any designated working 
area. 

3.5.5 Restrictions on Equipment in Elevator Spaces YES 

Only equipment related to the elevator installation or its protection shall 
be placed in the space containing the elevator equipment. 

3.5.6 Falling from Working Areas YES 

Means shall be provided to sufficiently mitigate the risk to elevator 
personnel of falling from any working area. 

3.5.7 LCU (car) Movement under Control of Elevator Personnel YES 

Only elevator personnel shall be provided with means to prevent or to 
enable the movement of the LCU (car) when they are in the travel path. 
When elevator personnel are within reach of unprotected moving parts 
of the elevator, they shall be able to prevent or activate movement of the 
elevator equipment. 



YES 
Case 14 

YES 

Cases 15 and 

15.1 

YES 
Case 1 6 

YES 
Case 1 7 



A17.1/B44 3.7 
and 3.8 



YES 
Case 1 8 



YES 
Case 1 9 



92 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



March 2007 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Nonmandatory Table E-2.3 
List of GESRs to be Verified for Conformance* 



GESR # Global Essential Safety Requirement 



Compliance RA Case # or 

to be A17.1/B44 

verified requirement 

with this (From 

GESR? Table E-2.4) 



3.5.8 Uncontrolled, Unintended Equipment Movement Inside the YES 
Hoistway 

Means shall be provided to protect elevator personnel from the effects 
related to uncontrolled or unintended movement of equipment inside 
the hoistway. Any acceleration or deceleration to which elevator 
personnel are subjected as a result of uncontrolled or unintended 
movement shall be limited to sufficiently mitigate the risk of harm. 

3.5.9 Means of Protection from Various Hazards YES 

Means shall be provided to adequately protect elevator personnel in 
working spaces from the effects of shearing, crushing, abrasion, 
laceration, high temperature, or entrapment 

3.5.10 Falling Objects in Hoistway YES 

While in the hoistway, elevator personnel shall be adequately protected 
from falling objects. 

3.5.1 1 Electric Shock in Working Spaces YES 

Equipment shall be designed and installed to minimize harm to elevator 
personnel due to effects of electricity. 

3.5.12 Illumination of Working Spaces YES 

All working spaces and access thereto shall be provided with adequate 
illumination for the use of elevator personnel. 



A17.1/B44 3.18 



YES 
Case 20 



YES 

Case 1 .2.2 



A17.1/B44 
3.26.1(d) 

YES 
Case 21 



E-2.4 Risk Assessment and Risk Mitigation 

NOTE (E-2.4): In this example, the risk assessment methodology of ISO 14798 was used. The following are summarized 
steps taken from ISO 14798. 

E-2.4. 1 Step 4: Identification of Scenarios: Hazardous Situations and 
Harmful Events (or Causes and Effects) 

The template in Nonmandatory Appendix Table C-1 is used to record the scenarios. Since the concept of 
this elevator cannot meet most of the requirements established in the current codes, scenarios were 
formulated to verify compliance of the design with each GESR. 

The first column in the table gives the "Case number" of the scenario being analyzed. The second 
column was inserted in Nonmandatory Appendix Table E-2.4 and E-2.5 to give the references to the GESRs 
being analyzed. The next three columns give descriptions of the scenario. 

E-2.4.2 Step 5: Risk Estimation 

Risk elements that are the severity of possible effects or harm (S) and probability of occurrence of that 
harm (P) have been estimated using guidelines set out in Part 2 and Nonmandatory Appendix C of this 
Code and Section 5.5 of ISO 14798. The results of the estimation are given in two columns labelled "S" 
and "P" following the scenario columns. 

E-2.4.3 Step 6: Risk Evaluation 

By inserting the levels of severity and probability in Nonmandatory Appendix Table C-3.1, the levels of risk 
are estimated. Using Nonmandatory Appendix Table C-3.2, the level of risk is evaluated. 



March 2007 



93 



i 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



© Canadian Standards Association 
ASME A 1 7. 7-200 7/CSA B44. 7-07 €> American Society of Mechanical Engineers, Inc. 

E-2.4.4 Step 7: Has the Risk been Sufficiently Mitigated? 

When the risk falls in Risk Group I or II (see Nonmandatory Appendix Table C-3.2), further protective 
measures or actions are taken if necessary. In the case of a risk identified as Risk Group III, no further action 
is required. 

E-2.4.5 Protective Measures 

In response to the team's assessment as a result of the risk scenarios, the designers propose protective 
measures that would reduce the identified risk, as recorded in the Protective Measures column in the table. 

NOTE (E-2.4.5): Figures E-2 to E-4 illustrate several protective measures taken to mitigate the risks and to achieve 
compliance with CESRs. 

E-2.4,6 Repeating Steps 5, 6, and 7 

When proposed protective measures are in place, step 5 is repeated and the same scenario is reviewed 
again. The severity and probability are estimated again and recorded in the table, in two columns 
following the Protective Measures column. Steps 6 and 7 are repeated to verify that the risk has been 
sufficiently mitigated and to determine whether any residual risk requires further mitigation. Residual risk is 
recorded in the last column of the table. 

E-2. 5 Documentation of the Risk Assessment and Mitigation Process 

The process is documented in Nonmandatory Appendix Table E-2. 4. 

E-2. 6 Explanation of the Development of the Proposed Design Using the 
Process of Risk Assessment in Table E-2.4 

The equipment design envisaged to meet the performance criteria in E-2.2.1 and E-2.2.2 was a hydraulic 
elevator with unspecified guidance (driven by a hydraulic jack) with a platform of unspecified size or 
strength and without walls. The elevator would have automatic operation. 

In assessing the elevator, the Risk Assessment team started with GESRs related to persons on the platform. 
Case 1 applies to CESR 3.4.1 . The hazardous situation is a result of persons on the platform and the 
elevator moving towards an upper landing. The harmful event is caused by the fact that the platform is 
not designed for the load and therefore collapses. The effect is that the persons fall from the platform. Due 
to the height of the fall, the level of severity is judged to be high (i.e., Level 1, Table C-2.1). Since the 
strength of the platform is unspecified, it is assumed to be incapable of carrying any load and will collapse 
as soon as any load is applied. The level of probability from Table C-2.2 would therefore be highly 
probable (i.e., Level A). Table C-3.1 shows the risk level to be 1 A. Table C-3.2 indicates that the risk is Risk 
Group I and that protective measures are to be taken to reduce the risks. 

In applying protective measures, the process described in 2.8.1 is followed. Requirement 2.8.1 states that 
protective measures shall be applied in a specific order. Requirement 2.8.1 (a) states: "Eliminate the hazard, 
where possible, by revisions to the design." In this case, eliminating the hazard would require preventing 
people from being on the platform, which effectively defeats the function of the elevator and is therefore 
not possible. Requirement 2.8.1 (b) states that "if the identified hazard cannot be eliminated in accordance 
with 2.8.1 (a), further measures shall be taken to reduce the risk. These measures include (1) re-designing 
the equipment to increase the reliability ...". 

By designing the platform to meet SP 3.4.1.3 and SP 3.4.1.4 in Table B-1, the platform cannot collapse. 
This effectively addresses the cause of the harmful event. 

Since the hazard has not been eliminated, the severity level still remains level 1, but the probability of this 
occurring is reduced to level F (Table C-2.2). A residual risk still remains, i.e., users can still fall from the 
edge of the platform. This risk is addressed in Case 1 .1 . 



94 



March 2007 



Copyright © 200? by the American Society of Mechanical Engineers. (e$s\ 1 

No reproduction may be made of this material without written consent of ASME. tSlS j 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. Performance-based safety code for elevators and escalators 

A similar process is followed in each case throughout the exercise. In every instance the hierarchy of 
implementing protective measures, i.e., first eliminate the hazard by design where possible, etc., is 
followed. Thus, the elevator evolves by design from an open platform of undefined strength to a fully 
closed elevator car with a ceiling, in response to the mitigation of identified risks. 

It should be recognized that other solutions are possible and that this example is by no means the only 
safe configuration. However, the example illustrates the process of following the methodology in this 
Code, but it is not intended to be an exhaustive study of this particular design. 



March 2007 95 



i 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



0\ 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



3.4 Essential safety requirements related to persons in LCU (car) 



3.4.1 



1.1 



3.4.1 



1.2 



3.4.4 



Persons are on the 
platform of LCU (car). 
Elevator moving towards 
the upper landing. 



Platform not designed 
for the load, collapses. 



Users fall from 

collapsing 

platform. 



Design the LCU (car) platform to 1 
meet SP 3.4.1.3 and SP 3.4.1.4 
in Nonmandatory Appendix 
Table B-1. 



Users can still 
fall from 
platform 
edges. 



Comments: 

(1) No further action required with respect to falling risk due to collapse of platform, as strength of platform has been addressed and the risk 
sufficiently mitigated. 

(2) Other strength-related issues will be resolved by other CESRs. 

(3) Falling hazards due to insufficient platform area and the lack of protection around the platform edges are addressed in Cases #1 .1 and 1 .2 

30 or more persons are on Platform not large Users fall off 1 B Design the LCU (car) platform to 1 C 

the platform of LCU (car), enough to platform edges. meet SP 3.4.1 .1 in 

Elevator moving towards accommodate the Nonmandatory Appendix 

the upper landing. persons. Table B-1. 



Persons can 
still fall off. See 
mitigation 
under Case 
#1.2. 



30 or more persons are on 
the platform of LCU (car). 
Elevator moving towards 
the upper landing. 



Unlimited space exists 
around edge of 
platform. Users step 
over edge. 



Users fall off 1 C Provide a 1 070 mm (consistent 

platform edges. with 2.1 0.2.1 in A1 7.1 /B44) 

solid barrier around the 
perimeter of the platform and an 
LCU (car) entrance gate made of 
framed glass. The strength will 
comply with SP 3.4.4 in 
Nonmandatory Appendix 
Table B-1 . The LCU (car) gate 
will be mechanically locked and 
will be unlocked automatically 
only after the LCU (car) is 
stopped at the landing. 



1 



Users can 
climb over 
1070 mm 
high barrier 
and fall, 
particularly if 
elevator stalls 
between 
landings. 



The example in Table E-2.4 reflects process and is not to be construed as a complete risk assessment of the entire process required by this Code. 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting 'GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



Comments: 

(1) Climbing over barriers in a moving elevator is foreseeable misuse, as people are used to enclosed elevators. 

(2) If an elevator is stalled, people may attempt to self-evacuate by climbing over the barrier. 



1.2.1 3.4.4 30 or more persons are on Elevator stalls in Users fall off 1 D 

the platform of LCU (car), between landings. Users platform 
Elevator moving towards climb over 1 070 mm barrier, 
the upper landing. Barrier high barrier, 
installed in compliance 
with safety parameter SP 
3.4.4 in Nonmandatory 
Appendix B-1, Item 2.21. 

Comment: This is one solution to mitigate the residual hazard. Other solutions may also be available. 



Install transparent barrier with 
strength in compliance with SP 
3.4.4 and SP 3.3.1 .7 in 
Nonmandatory Appendix B-1, 
and height of 2400 mm, which 
is in excess of Nonmandatory 
Appendix B-2, Item 1. 



Users can still 
climb out over 
~ 2400 mm 
high barrier if 
assisted by 
other users. 



Provide a transparent ceiling in 
compliance with SP 3.5.4.2 in 
Nonmandatory Appendix B-1 . 



1.2.2 3.4.4 30 or more persons are on Elevator stalls in between User fails from 1 
the platform of LCU (car), landings. Users assist barrier into 

Elevator moving towards other users to climb over space around 
the upper landing. ~ 2400 mm high barrier, the platform. 

Barriers installed in 
compliance with SP 3.4.4 
in Nonmandatory 
Appendix Table B~1 and 
Nonmandatory 
Appendix B-2, Item 18. 

Comments: 

(1) The fall hazard has been effectively eliminated by enclosing the platform. Thus, the severity is reduced to 4 and the probability to F. 

(2) By making the enclosure transparent, the design requirement E-2.2.2.2 is met. 

(3) The implementation of SP 3.5.4.2 in Nonmandatory Appendix B-1 also addresses CESR 3.4.10 [objects falling on LCU (car)]. 



(Continued) 



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Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting 'GESR Ref." Column]* 



Case 


GESR 
Ref. 


Scenario 
Hazardous situation 


Harmful event 
Cause 


Effect 


Risk 

elements 

estimate 

S P 


Protective measures 
(risk reduction measures) 


After 

protective 

measures 


Residual risk 


O 


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S P 


J* 

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3.4.2 
3.43 



3.4.7 



Persons are on the 
platform of LCU (car). 
Elevator moving towards 
the upper landing. 



No or insufficient means 
of LCU (car) support are 
provided. 



LCU (car) falls 
down to 
ground. 



The LCU (car), users, and 25% 1 
overload will be supported by a 
hydraulic jack sized in 
accordance with all applicable 
parts of SP 3.4.2.3 in 
Nonmandatory Appendix B~1 . 
Means complying with GESR 
3.4.3 will be provided. 



Comments: 

(1) Verification of the means of conformance with 3.4.3 will be provided in accompanying documentation. 

(2) Strength-related issues stated in Case #1 have been addressed in this case. 



Users are in LCU (car) 
when it impacts objects 

(a) in its travel path 
(bridge); or 

(b) at or beyond travel 
terminals. 



1 Insufficient distance 
between LCU (car) and 
objects in its path of 
travel. 

2 Inappropriate 
guidance of LCU (car), 
due to design or failure. 

3 Bridge deploys in 
path. 



Users impact 1 C The hydraulic plunger will be 

LCU (car) internally guided so that no sway 

enclosure or are or rotational movement will be 

thrown out of possible. 

LCU (car). System provided to prevent 

bridge from deploying while 
LCU (car) is in motion. 
Horizontal clearances and 
detection means will be 
provided meeting SP 3.4.7 in 
Nonmandatory Appendix 6-1 . 



Comment: Documentation would be provided to explain deployment of bridge and plunger guidance system. 



No action 
required. 



No action 
required. 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting 'GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



3.4.8 Users are on the platform. LCU (car) movement is LCU (car) loses 1 C See mitigation for GESR 3.4.7. 



The LCU (car) motion is 
not smooth. It moves 
along a curved path 
having horizontal or 
rotational components. 



not properly guided 
with rigid rails. 



stability. It 
collides with 
structural or 
other objects 
around its path. 
Users lose 
balance and fall 
or bump into 
each other. 

Comments: 

(1) Severity reduced because hazard eliminated. 

(2) The probability is reduced because a minor failure of LCU (car) guiding system can still occur. 

3.4.12 LCU (car) is not designed Fire occurs in LCU (car). User exposed to 2 E LCU interior is fitted with 

to resist fire. fire, toxic materials complying with SP 

fumes, and 3.4.12 in Nonmandatory 

smoke. Appendix B-l. 



E No action 

required. 



3 F No action 

required. 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



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3.2 Essential safety requirements related to persons adjacent to the elevator 



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3.2.1 



Persons are at floor area 
around the LCU (car) 
travel path or entrance 
area to the elevator. Open 
space between the floor 
and the LCU (car) travel 
path. 



Persons lean into travel 
path. 



Persons lose 1 

balance and fall 
into the travel 
path. 



To mitigate risk of persons falling 1 
from the gallery level into the 
LCU (car) travel path, top 
landing wili be provided with 
a framed-glass locked gate 
1 1 00 mm in height that is 
automatically unlocked only 
when the LCU (car) is stopped 
level with the landing. 
The strength of the gate meets 
SP 3.2.1 in Nonmandatory 
Appendix B-1 . 

Falling from the bottom landing 
will not be possible because, 
regardless of the position of the 
LCU (car), there will be no open 
gap between the bottom landing 
floor and under the LCU (car) 
structure more than 1 mm. 



Comment: See also GESR 3.1.5. 



No action 
required. 



5 



(Continued) 



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No n mandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



i © 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



3.3 Essential safety requirements related to persons at the entrance to LCU (car) 



3.3.1 



3.3.1 



Users enter or exit LCU 
(car). 



(1) Narrow opening. 



(2) Door not open fuily. 

(3) Door closes too 
soon or too fast. 



(1) Stuck in 
narrow 
opening. 

(2) Injury 
caused while 
forcing door 
open. 

(3) Impacted 
by door. 



(1) Gate openings 1000 mm. 



(2) LCU (car) and each landing 
is provided with double, 
centre-opening, power-operated 
swing gates, controlled by an 
attendant from the LCU (car), 
who initiates door opening and 
closing by a constant-pressure 
control button, so as to mitigate 
risks in (2) and (3). 

(3) Gates can open only when 
the LCU (car) is stopped level 
with landing sill, when outer 
portion of the landing and LCU 
(car) gates swing towards each 
other and interlock to create 
guarding 1100 mm in height 
along the sides of the bridge 
between the LCU (car) and 
landing sills (see Fig. E-4). Gate 
designed to open towards car. 

(4) Glass in the LCU and landing 
doors conforms to SP 3.3.1 .7 in 
Nonmandatory Appendix B-1 . 



No action 
required. 

No action 
required. 



Users can fall 
from the 
bridge. 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



3.3.2 



Users enter or exit LCU 
(car). 



(1) User fails off side of 
bridge. 



(1) and (2) User 1 
falls in travel 
path space. 



(1) Bridge guarded on both 1 

sides with 1 070 mm (consistent 
with 2.1 0.2.1 inA17.1/B44) 
high solid barrier. 



No action 
required. 



3.3.2 



(2) Users falls through (3) User trips 



the gap between the 

LCU (car) and landing 

sill. 

(3) User's shoe enters 

the gap. 



and falls onto 
landing. 



Comment: See also GESR 3.3.1 and 3.3.5. 



10 



3.3.3 



Users enter or exit LCU 
(car). 



LCU (car) is not level 
with landing floor 
because door opens 
before LCU (car) is level. 



User on foot or 2 
in a wheelchair 
trips, falls. 



(2) The sill-to-sill gap before the 
landing and LCU (car) gates 
open will be 1000 mm. 
However, before the gates can 
open, a bridge between the LCU 
(car) and landing will be 
automatically formed. 

(3) Once the gates open, there 
will be no gaps > 10 mm. 



LCU (car) aligned before the 
gate opens (see also Fig. E-3). 



No action 
required. 



No action 
required. 



Comment: See also GESR 3.3.1 . 



(Continued) 



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Non mandatory Table E-2.4 

Risk Assessment per TM onman da tory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



11 3.3.4 User is trapped in the LCU 

(car), which is not at a 
safe vertical distance from 
a landing. Rescue help is 
not arriving. 



The user attempts 
self-rescue by opening 
LCU (car) door, or gate 
and landing door which 
is 1000 mm below LCU 
(car) level, or tries to 
squeeze between the 
LCU (car) and hoistway 
enclosure. 



Users fall down 1 
to landing, or 
inside hoistway, 
or are crushed if 
LCU (car) 
moves. 



An attendant will be present at 
the LCU (car) to take action. 



No action 
required. 



12 3.3.5 Distance between the 

landing and LCU (car), as 
well as the door-to-door 
distance, is large and user 
enters the space. 



A user when entering or 
exiting LCU (car) enters 
space between landing 
and LCU (car) gates. 



User is 1 

entrapped 
between 
landing and 
LCU (car) doors 
and crushed by 
moving LCU 
(car) or falls into 
hoistway. 

Comment: 

(1 ) See CESR 3.3.1 and 3.3.2 and Fig. E-4. 

(2) Severity level 4 because there is no risk of falling and suffering high degree of harm. 



Once gate is opened there is no 
space in which to become 
trapped. 



No action 
required. 



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Nonniaiidatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



7, 


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13 3.3.6 LCU (car) and landing 

gates close while users are 
in the doorway. 



(1) Gate impacts the 
user or the user is 
entrapped between the 
gate panels or panels 
and frame, because 
reopening devices are 
not provided or failed, 

(2) User contacts gate 
panel surfaces while the 
panels are moving. 



(1) User body 
parts are 
sheared, 
crushed. 

(2) The user's 
hand is abraded 
when drawn 
into gap 
between door 
panel and 
frame. 



Gates to meet SP 3.3.1 in 
Nonmandatory Appendix B-1 . 
Gate is controlled by an 
attendant. 



No action 
required. 



3.5 



Essential safety requirements related to persons in working areas 



14 



3.5.1 



Elevator personnel are in 
working spaces, be it in 
the machinery space 
outside hoistway, inside 
the hoistway, in the 
hoistway overhead or pit, 
or on the LCU (car) top, to 
perform maintenance or 
repairs on various elevator 



The working space is 
inadequate. Not 
enough area to stand 
on or move. Small 
clearances between the 
elevator personnel and 
moving/rotating parts. 
Not able to reach 
equipment without use 
of ladders. 



Personnel trip, 
fall, get 
entangled, 
crushed. 



Meet SP 3.5.1 in Nonmandatory 
Appendix B-1 . 

No maintenance or anticipated 
repairs are to be performed from 
underneath the platform. 



No action 
required. 



15 



3.5.2 



parts. 

Comment: Severity level 4 because, being a working space, possibility of very 

Elevator personnel stand Elevator personnel Personnel fall. 2 

on ladder in working space attempt to reach the 

in reach of items requiring items requiring 

maintenance. maintenance. 

Comment: Placing equipment within reach. A ladder is not required. 



low degree of seventy always exists. 

C Design equipment such that a 
reach of < 820 mm is required 
from working space level. 



No action 
required. 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting 'GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



15.1 3.5.2 



16 



3.5.3 



17 



3.5.4 



18 



19 



3.5.6 



3.5.7 



Elevator personnel stand in 
working space; other 
equipment is located 
between elevator 
personnel and equipment 
requiring maintenance. 

Elevator personnel attempt 
to access equipment 
requiring maintenance. 

Comment: Severity level 4 

Two or three persons 
together with heavy tools 
and equipment enter the 
working area to perform 
repair. 

Comment: Severity !evel 4 

Equipment requires 
maintenance from an 
elevated platform by 
elevator personnel. 

Elevator personnel are in a 
working area, inside the 
hoistway, or in machinery 
area. Specific work 
requires the elevator to 
run and stop while the 
work is performed. 



Elevator personnel 
attempt to reach the 
items requiring 
maintenance. 



Personnel 
exposed to 
intervening 
equipment. 



Elevator personnel jump 
into the pit or onto the 
LCU (car) top. 

because, being a working 

Floor of the area 
collapses under the total 
load. 



Space exists around the 
perimeter of the 
platform. 



Personnel fall, 1 
trip, are 
crushed or 
entrapped. 

space, possibility of very 

Personnel 2 

exposed to 
falling, 

crushing, and 
impact. 

because, being a working space, possibility of very 

Personnel fall 1 
from the 
platform. 



C Meet SP 3.5.1 in Nonmandatory 4 
Appendix B-1. 



B Access to and egress from 4 

working spaces complies with SP 
3.5.3 in Nonmandatory 
Appendix B-1. 

low degree of severity always exists. 

C Provide working space capable 4 
of carrying anticipated load. 



low degree of severity always exists. 
D No elevated working areas to be 4 



LCU (car) starts 

uncontrolled 

movement. 



Personnel are 
exposed to 
shearing, 
falling, 

crushing, and 
impact. 



provided. 



Implement constant pressure 2 

operation from car only. Control 
devices and associated circuitry 
meet applicable requirements of 
EPDsinSP3.5.7in 
Nonmandatory Appendix B-1 . 



Residual risk 



No action 
required. 



No action 
required. 



No action 
required. 



No action 
required. 



No action 
required. 



8 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 

estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



Elevator personnel 
contact equipment. 



20 3.5.9 Elevator personnel are 
subjected to various 
hazards in a working area, 
inside the hoistway, or in 
machinery area. 



21 3.5.12 Elevator personnel are in a Illumination is low. 

working area. 



Personnel are 
exposed to 
shearing, 
crushing, 
abrasion, 
entrapment, or 
high 
temperatures. 

The job is not 
properly done, 
endangering 
safety of users 
or elevator 
personnel. 



Design work space to eliminate 
exposure. 



No action 
required. 



C Provide illumination levels 
conforming to SP 3.5.12 in 
Nonmandatory Appendix B-1 . 



No action 
required. 



3.1 Common essential safety requirements related to persons in different locations and in relation to different sub-systems 



22 3.1.1 Persons in or around 

elevator equipment which 
has supports to which they 
are attached. 



During normal or 
emergency operation 
supports fail, which 
affects stability and 
operational readiness of 
critical components, 
including LCU (car). 



The person is 
exposed to 
shearing, 
falling, 

crushing, and 
impact. 



Provide supports for ail elevator 
equipment in compliance with 
applicable SPs in 3.1 .1 in 
Nonmandatory Appendix B-1 . 



No action 
required. 



(Continued) 



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Nonmandatory Table E-2.4 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref." Column]* 



Scenario 



Case 

# 



GESR 

Ref. Hazardous situation 



Harmful event 



Risk 

elements 

estimate 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



Residual risk 



23 3.1.2 Persons working in or 

around elevator. 



The users assigned to do 
the work have not 
received adequate 
training or instruction 
related to the elevator 
installation on which 
they are assigned to 
work, with respect to 

(a) personal safety 
procedures; and 

(b) equipment and 
functions that are 
critical for the 
safety of users and 
non-users. 



The person is 
exposed to 
shearing, 
failing, 

crushing, and 
impact. 
Users are 
exposed to 
various safety 
hazards - 
crushing, 
falling, 
shearing. 



24 3.1.3 Non-elevator personnel Persons come in contact The person is 1 

gain access to elevator with moving or rotating exposed to 



25 



3.1.4 



machinery and 
equipment. 



(1) Users are in LCU (car) 
with slippery or uneven 
surface. 



equipment or 
unprotected electrical 
equipment. 



(1) User trips or slips. 



shearing, 
falling, 
crushing, 
electrical shock, 
and impact. 

(1) User falls. 



Documentation for this elevator 
will include maintenance manual 
outlining requirements for 
knowledge and experience as 
well as specific instructions, 
procedures, and training needed 
for maintaining elevator. 



No action 
required. 



Provide protection in 1 

conformance with applicable SPs 
in 3.1 .3 in Nonmandatory 
Appendix B-1 . 



Design equipment in 3 

conformance with applicable SPs 
in 3.1 .4 in Nonmandatory 

Appendix B-1 . 



No action 
required. 



No action 
required 



(continued) 



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Nonmandatory Table E-2.4 (Concluded) 

Risk Assessment per Nonmandatory Appendix C 

[Modified by inserting "GESR Ref/' Column]* 



Scenario 



Case 

# 



GESR 
Ref. 



Harmful event 



Risk 

elements 
estimate 



Hazardous situation 



Cause 



Effect 



Protective measures 
(risk reduction measures) 



After 

protective 

measures 



26 



3.1.5 



27 



3.1.8 



28 



29 



S 

Q 
O 

o 



(2) Elevator personnel are 
in working area; working 
area surfaces are slippery 
or not level. 

(1) Users on LCU (car) 
extend or protrude body 
parts out of LCU (car). 

(2) Persons at floors 
around the LCU (car) path 
extend or protrude body 
part towards the LCU (car) 
or other elevator 
equipment inside the 
path. 

Persons are around 
elevator equipment with 
sharp edges. 



3.1.11 



3.1.13 



(2) Elevator personnel 
trip or slip. 



(1) LCU (car) has 
insufficient protection 
on sides allowing users 
to contact moving 
equipment. 

(2) insufficient 
protection between 
surrounding floors or 
elevator equipment too 
close to the floor 
perimeters. 

Persons contact sharp 
edges. 



(2) Elevator 
personnel fall. 



Body parts are 
sheared, 
crushed, 
impacted. 



Persons get 
hurt. 



Persons are in or around 


Illumination is low. 


Persons trip, 


3 


elevator. 




fall, are 
impacted. 




LCU (car) designed with 


Users are exposed to 


Persons are 


3 


hazardous material: 


smoke or toxic 


exposed to 




(1) User in LCU (car). 


materials, due to 


smoke and 


3 


(2) Persons in vicinity of 


materials not being 


toxicity. 




elevator installation. 


fire-resistant. 







D 



Design equipment in 2 

conformance with applicable SPs 
in 3.1 .5 in Nonmandatory 
Appendix B-1 . 



C Design equipment in 4 

conformance with applicable SPs 
in 3.1 .8 in Nonmandatory 
Appendix B-1 and remove sharp 
edges in design. 

C Provide illumination conforming 3 
with applicable SPs in 3.1 .1 1 in 
Nonmandatory Appendix B-1 . 

C (1) LCU (car) fire resistance will 3 
meet applicable SPs in 3.1 .1 3 in 

D Nonmandatory Appendix B-1 . 3 
(2) Building materials conform 
to building code requirements. 



Residual risk 



No action 
required. 



No action 
required. 



No action 
required. 



No action 
required. 



On 



No 
O 

o 

NJ 

o 

DO 






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i Canadian Standards Association 

> American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Figure E-l 
Determination of the Subject of the Assessment 



Complete elevator system: 

(a) capacity - thirty persons; 

(b) speed - 0.5 to 1 .0 m/s; 

(c) landings - 2 levels, the ground and gallery levels; 

(d) rise - 8 m; 

(e) location - public assembly building; 

(f) life cycle - 40 years; 

(g) driving machine - any type; and 
(h) automatic operation. 

Preliminary design concept 



Gallery 




Platform 



Rise 8 m 




Ground floor 




March 2007 



109 



c 






Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Figure E-2a 
Elaboration of the Design Concept 




Distance from ' 
protective guard 
1100 mm 




Operating 
panel 




3000 mm 



1100 mm 



Protective guard at 
ground floor 



Protective guard at ground floor and LCU 



Operating 
panel 




1100 mm 



■300 mm 



LCU cross-section 



770 



March 2007 



c 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Figure E-2b 
View of Ground Guard and Raised LCU 



Solid smooth cylinder 
apron emerging from 
the ground hole ■ 




Protective guard at 
ground floor 



March 2007 



111 



;'C 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME. 



D 



ASMEA17.7-2007/CSA B44.7-07 



© Canadian Standards Association 
© American Society of Mechanical Engineers, Inc. 



Figure E-3 
Elaboration of Design Concept LCU - Landing Bridge 



Top landing gate 




Detail 1: LCU below the landing. 





Bridge 




Detail 2: LCU 50 mm below top landing. 
Bridge emerges from below the LCU platform. 




Detail 3: Bridge deployed to support. 



112 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. fjQjC^ j 

No reproduction may be made of this material without written consent of ASME. t^k I 



ASMEA17.7-2007/CSA BAA. 7 -07 



© Canadian Standards Association 
© American Society of Mechanicai Engineers, Inc. 



NONMANDATORY APPENDIX F 
ASME A17.7/CSA B44.7 Process 

Figure F-l 



New product 
design 



YES- Option 1 [2.2.1(a)] 



NO -Option 2 [2.2.1(b)] 



YES 



Identify 
ASMEA17.1/ 

CSA B44 
compliance 




NO -Option 3 [2.2.1(c)] 



Identify applicable GESRs 
Section 2.4. 2.5 and 2.6 



Mitigate risk(s) 
Section 2.9 



CCD 
Section 2.10 



Notes 1 & 2 




AECO reviews application 



Note 2 



Note 2 



Installation 




Certificate of 

conformance 

issued 



NO 



Perform RA 
Section 2.7 



Identify SPs and other 

protective measures 

Section 2.8 



Applicant tasks 
I I AECO tasks 
AHj tasks 



NOTES 

(1 ) Recognition that AH] may directly evaluate CCD. 

(2) Regulatory process outside scope of this Code 



114 



March 2007 



Copyright © 2007 by the American Society of Mechanical Engineers. r$j&| 

No reproduction may be made of this material without written consent of ASME. ^MX 



© Canadian Standards Association 

© American Society of Mechanical Engineers, Inc. 



Performance-based safety code for elevators and escalators 



Figure E-4 
Elaboration of the Design Concept 




LCU 



Sequence 0: Status — LCU stopped at gallery landing with bridge extended in place. 




Gallery landing 
double gate 



LCU 
double gate 




Sequence 1: outer gates start to open 
to form the bridge side guard. 



Sequence 2: outer gates fully open 
- the bridge guard is formed. 




LCU 
double gate 




Sequence 5: inner gates start to open. 



Sequence 4; inner gates fully open, locked in place. 
Users enter and exit LCU under supervision of attendant. 



March 2007 



113 



Copyright © 2007 by the American Society of Mechanical Engineers. 
No reproduction may be made of this material without written consent of ASME.